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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2017-02-24 |
Branch Locations
179 S Main St, New City, NY 10956 • United States
153 South Liberty Dr, Route 9W, Stony Point, NY 10980 • United States
1 Industrial Drive, Suite 100, Middletown, NY 10941 • United States
7 Edward J. Lempka Dr, Florida, NY 10921 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Nanuet | NY | 06/2016 | 09/2016 |
| First Niagara Bank | Nanuet | NY | 06/2016 | 09/2016 |
| Key Investment Services Llc | Plymouth Meeting | CT | 09/2016 | 02/2017 |
| Keybank | Pearl River | NY | 09/2016 | 02/2017 |
| Sterling National Bank | Montebello | NY | 02/2017 | Present |
| Lpl Financial,Llc | New York | NY | 02/2017 | Present |
1) 02/23/2017 - Sterling Wealth Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2) 02/23/2017 - Sterling National Bank - inv rel - at reported business location(s) - start: 02/13/2017 - 160 hr/mth 3) 09/03/2021 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/03/2021.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-22 |
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