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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 | 2023-10-02 |
| IL | RA | APPROVED | 2023-09-29 |
Branch Locations
4320 Winfield Road Suite 450, Warrenville, IL 60555 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services,Inc | Wheaton | IL | 03/2015 | 05/2018 |
| Raymond James Financial Services Advisors Inc | Wheaton | IL | 04/2015 | 05/2018 |
| Sage Private Wealth Group, Llc | Wheaton | IL | 03/2015 | 05/2018 |
| Sage Private Wealth Group | Wheaton | IL | 03/2015 | 05/2018 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 05/2018 | 09/2023 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 05/2018 | 09/2023 |
| Dugan & Lopatka, Financial Services Llc | Wheaton | IL | 05/2018 | 07/2018 |
| Dugan & Lopatka Wealth Management, Llc | Wheaton | IL | 07/2018 | Present |
| Lpl Financial Llc | Warrenville | IL | 09/2023 | Present |
1)09/27/2023 - Dugan & Lopatka Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 07/2018 - 160 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-06 |
| S65 | Uniform Investment Adviser Law Examination | 1998-09-17 |
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