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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-12-09 |
| TX | RA | APPROVED | 2024-12-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 04/2018 | 12/2024 |
| Sherwin Williams (Formerly Valspar) | Sewickley | PA | 02/2017 | 03/2018 |
| Glaxosmithkline | Pittsburgh | PA | 07/2005 | 03/2017 |
| Lpl Financial | Mars | PA | 12/2024 | Present |
1) 01/03/2025 - Ascend Capital Advisors, LLC - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:12/30/2024 - 160 Hrs/Mth - 160 Hrs During Trading. 2) 01/03/2025 - Shoemaker Investment Group, LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Mars PA - Start Date:01/01/2010 - 0 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-19 |
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