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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-26 |
| IL | RA | APPROVED | 2021-03-24 |
Branch Locations
1315 S Naper Blvd Ste 109, Naperville, IL 60540 • United States
15101 S. Route 59, Plainfield, IL 60544 • United States
1284 Rickert Road, Naperville, IL 60540 • United States
225 Lily Cache Lane, Bolingbrook, IL 60440 • United States
220 Douglas Road, Oswego, IL 60543 • United States
2975 Cedar Glade Drive, Naperville, IL 60564 • United States
710 S. Weber, Bolingbrook, IL 60490 • United States
2251 Rte 59, Plainfield, IL 60586 • United States
Oswego, IL • United States
80 S. Weber Rd, Romeoville, IL 60446 • United States
630 N Independence Blvd., Romeoville, IL 60446 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Harris Bank | Naperville | IL | 12/2001 | Present |
| Harris Investor Services Inc | Naperville | IL | 12/2005 | Present |
| Lpl Financial Llc | Plainfield | IL | 03/2021 | Present |
1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Harris Bank - Investment Related - NAPERVILLE, IL 2) 04/01/2009 - Real Estate Rental - David Tsang - Investment Related - Aurora, IL 3) 08/06/2021 - ROSARY CATHOLIC HIGH SCHOOL - Not Investment Related - 901 N Edgelawn Dr, Aurora IL 60506 - Outside/W-2 Employment - Assistant Tennis Coach - Start Date: 08/08/2004 - 40 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-24 |
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