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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 | 2024-12-04 |
| MO | RA | APPROVED | 2022-02-04 |
Branch Locations
3451 St Albans Road Suite C, Saint Albans, MO 63073 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City Of Ballwin | Ballwin | MO | 07/2015 | Present |
| Lpl Financial Llc | Saint Albans | MO | 08/2021 | Present |
1) 9/2021- RESOURCE ONE ADVISORS LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- SAINT ALBANS, MO 2) 9/2021- FINANCIAL MARKETS- Non-Variable Insurance- AGENT SELLING FIXED INSURANCE PRODUCTS- Inv. Related- SAINT ALBANS, MO - start date 11/2020- 2hrs/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-03 |
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