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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2020-10-28 |
| VA | RA | APPROVED | 2020-10-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Lynchburg | VA | 04/2015 | 10/2020 |
| Lpl Financial, Llc | Lynchburg | VA | 10/2020 | Present |
1.10/30/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name DePaul Wealth Management; Investment Related; at Reported Business Location(s); Start Date 04/15/2015; 40hrs/mth; 8hrs during trading 2.10/30/2020; Insurance Sales; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 11/01/1992; 5hrs/mth; 1hrs during trading 3.10/30/2020; Real Estate Ownership; Real Estate Rental; Investment Related; Lynchburg,VA; Start Date 10/01/1995; 0hrs/mth; 0hrs during trading 4.10/30/2020; Duplex Rental; Real Estate Rental; Investment Related; 112 Camp Ave Lynchburg,VA; Start Date 05/01/2018; 0hrs/mth; 0hrs during trading 5.09/10/2024; DePaul Wealth Management, LLC; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 08/19/2024; 10hrs/mth; 10hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-20 |
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