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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-12-18 |
| TX | RA | APPROVED_RES | 2014-05-06 |
| NH | RA | APPROVED | 2004-07-12 |
Branch Locations
1 Waldron Court, Ste. E, Dover, NH 03820 • United States
Bradenton, FL • 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 | Dover | NH | 07/2004 | Present |
1. 07/13/2004 * non-variable insurance-trails only * INV REL * AT REPORTED BUSINESS LOCATION(S) * TIME SPENT 1% 2. 11/15/2004 - OTHER-BUSINESS ENTITY FOR ACCOUNTING PURPOSES - JANAKIS FINANCIAL - FOR ACCOUNTING PURPOSES ONLY. - DOVER, NH 3. 02/02/2023 - United Underwriters - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 01/31/2023 - 1 Hour Per month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-13 |
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