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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 |
|---|---|---|---|
| AR | RA | APPROVED | 2025-01-01 |
| KY | RA | APPROVED | 2025-01-01 |
| TN | RA | APPROVED | 2025-01-01 |
| AL | RA | APPROVED | 2022-07-11 |
Branch Locations
1385 Flowering Dogwood Ln Ste A, Dyersburg, TN 38024-6409 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1385 Flowering Dogwood Ln Ste A, Dyersburg, TN 38024-6409 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Triad Advisors, Inc. | Norcross | GA | 03/2013 | 06/2022 |
| Lpl Financial, Llc | Dyersburg | TN | 06/2022 | Present |
1) 6/2022 - Notary - Jon McKnight - Investment Related - Dyersburg, TN 38024 2) 2/2012 - DBA for LPL Business (entity for LPL business) - Compass Wealth Services - Investment Related - Dyersburg, TN 38024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-14 |
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