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CRD 6995026
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 | 2024-08-26 |
| KS | RA | APPROVED | 2021-08-10 |
Branch Locations
1055 Lpl Way, Fort Mill, SC 29715 • United States
Overland Park, KS • United States
5440 W. 110Th St Ste 300, Overland Park, KS 66211 • United States
380 W Western Avenue Suite 250, Muskegon, MI 49440 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2022-08-26 |
Branch Locations
Olathe, KS • United States
380 W Western Avenue Suite 250, Muskegon, MI 49440 • United States
5440 W 110Th St Suite 300, Leawood, KS 66047 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Shawnee Mission | KS | 08/2018 | 07/2021 |
| Southwest Baptist Univeristy Athletics | Bolivar | MO | 11/2017 | 05/2018 |
| Unemployed | Lees Summit | MO | 06/2018 | 07/2018 |
| Southwest Baptist University | Bolivar | MO | 08/2016 | 05/2018 |
| Lpl Financial | Muskegon | MI | 07/2021 | 08/2021 |
| Lpl Financial Llc | Overland Park | KS | 08/2021 | Present |
| Bcs Partners Llc Dba Embark Financial Partners | Muskegon | MI | 08/2022 | Present |
| Bcs Partners Llc Insurance Agency | Muskegon | MI | 01/2023 | Present |
1) 8/2021- Embark Financial Partners- DBA for LPL Business (entity for LPL business)- inv. related- Overland Park, KS 2) 1/2023 - Embark Financial Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 01/2023 - 10 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-07 |
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