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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2021-01-14 |
| TX | RA | APPROVED_RES | 2021-01-13 |
Branch Locations
1600 Rainbow Blvd, Excelsior Springs, MO 64024 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1St Global Capital Corp. | Excelsior Springs | MO | 04/2006 | 10/2019 |
| Family Wealthcare Center | Excelsior Springs | MO | 03/2006 | Present |
| 1St Global Advisors, Inc. | Excelsior Springs | MO | 04/2006 | 10/2019 |
| Avantax Insurance Services, Inc. | Excelsior Springs | MO | 06/2007 | 12/2020 |
| Avantax Advisory Services | Excelsior Springs | MO | 10/2019 | 12/2020 |
| Avantax Investment Services, Inc. | Excelsior Springs | MO | 10/2019 | 12/2020 |
| Lpl Financial Llc | Excelsior Springs | MO | 01/2021 | Present |
1. 9/20/2021 - Family WealthCare Center - DBA: Family WealthCare Center, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/05/2005 - 160 Hours Per Month/6 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-12-09 |
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