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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_RES | 2021-04-07 |
| TN | RA | APPROVED | 2017-06-15 |
Branch Locations
6020 Relocation Way, Ooltewah, TN 37363 • United States
7442 Commons Boulevard, Chattanooga, TN 37421 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Suntrust Investment Services, Inc | Atlanta | GA | 07/2012 | 06/2017 |
| Suntrust Advisory Services | Atlanta | GA | 08/2016 | 06/2017 |
| Tva Federal Credit Union | Chattanooga | TN | 06/2017 | Present |
| Lpl Financial Llc | Chattanooga | TN | 06/2017 | Present |
1. 6/15/2017 - Tennessee Valley Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 2/18/2020 - No Business Name - Not Investment Related - Home Based - Other-Fishing Guide - Licensed Guide - Started 02/01/2020 - 20 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-10 |
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