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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 | 2021-11-15 |
| CO | RA | APPROVED | 2019-04-11 |
Branch Locations
8390 E Crescent Pkwy Ste 110, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Greenwood Village | CO | 01/2019 | Present |
| Friendship Haven, Inc. | Fort Dodge | IA | 06/2016 | 01/2019 |
1. 4/29/2019 - pi Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/07/2019 - 160 Hours Per Month During Securities Trading. 2. 5/6/2021 - Berkshire Advisor Resource, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/24/2020 - 2 Hours Per Month During Securities Trading - Disability insurance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-04 |
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