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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 |
|---|---|---|---|
| ND | RA | APPROVED | 2024-08-08 |
| TX | RA | APPROVED | 2024-08-06 |
Branch Locations
305 South 4Th Street, Grand Forks, ND 58201-4708 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
305 South 4Th Street, Grand Forks, ND 58201-4708 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc | San Diego | CA | 10/2014 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 10/2014 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 08/2022 |
| Cetera Advisors Llc | Grand Forks | ND | 09/2022 | 08/2024 |
| Lpl Financial Llc | Grand Forks | ND | 08/2024 | Present |
1)07/05/2024 - NORTHERN PLAINS FINANCIAL LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2024 - 144 Hr/Mth 2)07/05/2024 - Michael Elsberry - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 08/2024 - 1 Hr/Mth 3)07/05/2024 - CRP INCOME - Farm/Ranch - CRP INCOME: RECEIVES REVENUE FOR KEEPING LAND WITH GRASS INSTEAD OF TILLING IT UP FOR CROPS - Non-Inv Rel - ND - Start: 08/2023 4)07/05/2024 - DAKOTA MULEYS, LLC - Farm/Ranch - Non-Inv Rel - Emerado, ND - Start: 04/2020 - 8 Hr/Mth 5)07/05/2024 - NPF REAL ESTATE, LLC - Real Estate Rental - Inv Rel - Grand Forks, ND - Start: 06/2020 - 1 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-03 |
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