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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-09-05 |
Branch Locations
New Milford, CT • United States
1449 Old Waterbury Rd Ste 302, Southbury, CT 06488 • United States
1449 Old Waterbury Rd Ste 302, Southbury, CT 06488 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Hancock Financial Services, Inc. | New Milford | CT | 06/2001 | 11/2018 |
| Royal Alliance Associates, Inc. | Rocky Hill | CT | 11/2018 | 09/2023 |
| Lpl Financial Llc | Southbury | CT | 09/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-22 |
Reach out to this advisor