Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2025-02-04 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • United States
231 S. Lasalle St 3Rd Floor, Chicago, IL 60604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Philadelphia | PA | 06/2018 | 06/2019 |
| Fcm Travel Solutions | Philadelphia | PA | 05/2015 | 06/2018 |
| Thrivent Investment Management Inc | Philadelphia | PA | 06/2019 | 07/2021 |
| Thrivent Financial | Appleton | WI | 06/2019 | 11/2019 |
| Thrivent Financial | Appleton | WI | 11/2019 | 07/2021 |
| Citizens Securities, Inc. | Philadelphia | PA | 09/2021 | 11/2023 |
| Wintrust Investments Llc | Chicago | IL | 11/2023 | 01/2025 |
| Great Lakes Advisors Llc | Chicago | IL | 11/2023 | 01/2025 |
| Lpl Financial Llc | Chicago | IL | 01/2025 | Present |
1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/27/2023- 160 Hours Per Month- 160 Hours During Trading 2) 03/17/2025 - GLA - Investment Related - Financial Institution Duty - None - Start Date:03/13/2025 - 100 Hrs/Mth - 100 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-23 |
Reach out to this advisor