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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-10-20 |
| NJ | RA | APPROVED | 2023-10-19 |
| TX | RA | APPROVED | 2023-10-19 |
Branch Locations
Manahawkin, NJ • United States
2000 Post Rd. Ste 205, Fairfield, CT 06824 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Hohokus | NJ | 08/2012 | 11/2017 |
| Securities America, Inc. | Manahawkin | NJ | 11/2017 | 10/2023 |
| Securities America Advisors | Manahawkin | NJ | 11/2017 | 10/2023 |
| Ll Financial Llc | Manahawkin | NJ | 10/2023 | Present |
1) 08/04/2023 - OAK TREE FINANCIAL GROUP - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 08/04/2023 - GANDET & ASSOCIATES LLC - Tax Prep/Accounting/CPA - Owner - NJ 08050 - Investment related - 10 Hours per month - Start date: 02/01/2014. 3) 08/04/2023 - Oak Tree Financial Group - Tax Prep/Accounting/CPA - Tax prep - CT 06824 - Investment related - 30 Hours per month - Start date: 10/31/2018. 4) 08/04/2023 - Non-Variable Insurance - NJ 08050 - Selling: Term, GUL, IUL Life, fixed annuities - Advisors Choice Insurance Brokerage Services - Investment related - 5 Hours per month - Start date: 10/01/2021. 5) 08/04/2023 - OAK Tree Financial Advisors LLC - Tax Prep/Accounting/CPA - CT 06824 - Investment related - 30 Hours per month - Start date: 10/31/2018.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-19 |
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