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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 | 2006-09-11 |
| MO | RA | APPROVED | 2005-05-18 |
Branch Locations
10820 Sunset Office Dr Ste 202, St. Louis, MO 63127 • United States
Washington, MO • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | St. Louis | MO | 05/2005 | Present |
1. 10/12/2005 - GATEWAY FINANCIAL STRATEGIES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 03/17/2015 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 07/14/2005 - 1 Hours Per Month During Securities Trading - INSURANCE PRODUCER- LIFE, HEALTH DISABILITY, LTC, FIXED ANNUITIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-07 |
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