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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 | 2023-08-11 |
| AZ | RA | APPROVED | 2023-07-19 |
| CA | RA | APPROVED | 2023-07-19 |
| WA | RA | APPROVED | 2023-07-19 |
Branch Locations
395 N Executive Dr, Brookfield, WI 53005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 12/2018 | 09/2019 |
| Progrexion Teleservices | Phoenix | AZ | 12/2016 | 12/2018 |
| Dk Buell Exterminating | Surprise | AZ | 10/2013 | 12/2016 |
| Western Southern Life | Gilbert | AZ | 10/2019 | 04/2022 |
| W&S Brokerage Services | Cincinnati | OH | 11/2019 | 04/2022 |
| Bancwest Investment Services | Tempe | AZ | 04/2022 | Present |
| Lpl Financial Llc | Tempe | AZ | 07/2023 | Present |
1) 05/01/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-04 |
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