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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 | 2021-09-15 |
| TX | RA | APPROVED_RES | 2012-01-30 |
Branch Locations
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 |
|---|---|---|---|---|
| Lpl Financial | Rockville Centre | NY | 10/2011 | Present |
1. 4/3/2012: NON-VARIABLE INSURANCE - NO SPECIFIC TILTE. IF I GET A REQUEST FOR INSURANCE, I SHOP TO FIND THE PRODUCT THAT MOST SUITES THEIR NEEDS. I HAVE NO AUTHORITY OUTSIDE OF HELPING THE CLIENT FILL OUT THE APP AND SUBMITTING FOR PROCESSING. 2. 4/3/2012: NON-VARIABLE INSURANCE - SELLING HEALTH INSURANCE TO SMALL BUSINESSES. TAKE APPLICATIONS AND SUBMIT TO INSURANCE COMPANIES ON BEHALF OF SMALL BUSINESS. 3. 11/25/2014 - STRATEGIC FOCUSED SOLUTIONS, INC. - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME 160 HOURS PER MONTH - BALDWIN, NY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-31 |
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