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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-07-01
  • IL RA
    APPROVED
    Since 2020-07-01

Branch Locations

1211 W. 22Nd St, Suite 209, Oak Brook, IL 60523 • United States

1211 W. 22Nd St, Suite 209, Oak Brook, IL 60523 • United States

Orland Park, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Goodworth Wealth Management, Llc Chicago IL 05/2019 09/2019
Goodworth Kitchie & Associates Chicago IL 02/2019 04/2019
Unemployed Orland Park IL 11/2017 02/2019
Bnp Paribas Asset Management New York NY 02/2010 11/2017
Lpl Financial, Llc Chicago IL 02/2019 Present
  • 05/2019 → 09/2019
    Goodworth Wealth Management, Llc
    Chicago, IL
  • 02/2019 → 04/2019
    Goodworth Kitchie & Associates
    Chicago, IL
  • 11/2017 → 02/2019
    Unemployed
    Orland Park, IL
  • 02/2010 → 11/2017
    Bnp Paribas Asset Management
    New York, NY
  • 02/2019 → Present
    Chicago, IL
Other Businesses

1. 10/17/2019 - GOODWORTH WEALTH MANAGEMENT LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CHICAGO, IL

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-06-30
  • S63 Uniform Securities Agent State Law Examination
    2020-06-30
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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