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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 |
|---|---|---|---|
| MA | RA | APPROVED | 2014-09-22 |
Branch Locations
40 Tremont St Entrance 10 #59, Duxbury, MA 02332-5316 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Duxbury | MA | 09/2009 | Present |
1. 11/12/2009 - TAX PREP/ACCOUNTING/BOOKKEEPING - CORNERSTONE ASSET MANAGEMENT, LLC - PROVIDE BOOKKEEPING AND OFFICE CLERICAL ASSISTANCE TO REPRESENTATIVES. WE ALSO RUN THE OFFICE EXPENSES THROUGH THE LLC FOR TAX PURPOSES.THE ONLY INCOME TO DATE IS FROM PORTION OF EXPENSES THAT ARE NOT TAX DEDUCTABLE. - TIME SPENT 5%. 2. 9/19/2012 - CORNERSTONE ASSET MANAGEMENT LLC - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-24 |
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