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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 | 2018-01-02 |
| SD | RA | APPROVED | 2017-11-29 |
Branch Locations
113 N. Commercial, Clark, SD 57225 • United States
1310 9Th Ave Se, Watertown, SD 57201 • United States
1441 6Th St, Brookings, SD 57006 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dacotah Bank - Ica | Aberdeen | SD | 09/1998 | Present |
| Investment Centers Of America, Inc. | Aberdeen | SD | 09/1998 | 11/2017 |
| Lpl Financial Llc | Watertown | SD | 11/2017 | Present |
1. 12/21/2017 - Investment Center Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - start date 12/15/2017 - 160 hours per month/8 hours during securities trading. 2. 10/8/2018 - Elshere Financial, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Owner & President - Start Date: 06/01/2018 - 0 Hours Per Month/0 Hours During Securities Trading. 3. 06/07/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - agent - Start Date - 04/02/2018 - 15 Hours Per Month/ 1 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-30 |
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