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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2024-05-30 |
| TX | RA | APPROVED | 2024-05-30 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Eagan | MN | 04/2002 | 05/2024 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2002 | 05/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | 05/2024 |
| Lpl Financial Llc | Stillwater | MN | 05/2024 | Present |
1) 05/01/2024 - St. Croix Strategies - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 05/01/2024 - St. Croix Strategies - Business Entity For Tax/Investment Purposes Only - MN 55082 - Non investment related - 160 Hours per month - Start date: 05/10/2024. 3) 05/01/2024 - Insurance Brokerage - Non-Variable Insurance - Selling: LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS - Highland Capital Brokerage - MN 55082 - Investment related - 12 Hours per month - Start date: 05/18/2024. 4) 03/09/2026 - Rosenau Family Research Foundation - Non-Profit Board Member - Not Investment Related - Muskego, WI - Start Date 01/09/2026 - 4 hours per month/ 1 hour during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-05-14 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-11 |
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