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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-09 |
| NJ | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Marlton | NJ | 06/2012 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Marlton | NJ | 06/2012 | 07/2021 |
| Finra Arbitrator | Marlton | NJ | 02/2021 | 07/2021 |
| Pelerin Wealth Management Llc | Marlton | NJ | 02/2021 | 07/2021 |
| Lpl Financial Llc | Marlton | NJ | 07/2021 | Present |
1. 2/17/21/Mesmin Pelerin/Pelerin Wealth Management/DBA for LPL Business (entity for LPL business)/Investment Related//0 HRS/MO/Marlton, NJ 2. 2/12/21/FINRA Non-Public Arbitrator/Other/Investment Related//0 HRS/MO/Marlton, NJ 3. 2/15/17/Joseph Raymond Holdings LLP/Real Estate Rental/Investment Related//0 HRS/MO/East Windsor, New Jersey 4. 02/17/2022- Joseph Raymond Holding LLP- Not Investment Related - At Reported Business Location(s)- Other - Bookkeeping - Silent partner - Start Date - 02/04/2022.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-24 |
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