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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2023-10-05 |
| TX | RA | APPROVED_RES | 2022-08-04 |
| MO | RA | APPROVED | 2022-01-04 |
Branch Locations
4700 Belleview Ave Ste 410, Kansas City, MO 64112 • United States
4400 College Blvd, Ste 101, Overland Park, KS 66211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stepp & Rothwell, Inc. | Overland Park | KS | 01/2015 | 09/2017 |
| Stepp & Rothwell, Inc. | Overland Park | KS | 10/2017 | 12/2021 |
| Lpl Financial | Kansas City | MO | 01/2022 | Present |
1. 1/4/2022 - BMG Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1/2022.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-12 |
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