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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2021-09-28 |
| TX | RA | APPROVED | 2021-09-28 |
Branch Locations
157 Church St Fl 19, New Haven, CT 06510 • United States
702 Houston St Ste 172, Fort Worth, TX 76102 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Woodbridge | CT | 09/2005 | 09/2021 |
| Lpl Financial, Llc | Fort Worth | TX | 09/2021 | Present |
1. 9/28/2021 - Charles L Johnson, CFP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 9/2021.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-04-20 |
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