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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 | 2015-12-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Webster Bank | Stamford | CT | 01/2014 | Present |
| Lpl Financial Llc | Stamford | CT | 12/2015 | Present |
(1) 12/08/2015: Gabriel Realty, LLC - Real Estate Rental - INV REL - Start 01/07/2008 - 1700 Bedford Street, Stamford, CT 06905 - 1% Time Spent (2) 12/08/2015: Webster Investments - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) (3) 12/08/2015: Webster Bank - Financial Institution Duty - INV REL - Start 01/06/2014 - 281 Tresser Boulevard, Stamford, CT 06901 - Director of Relationship Management and Sales - 95% Time Spent (4) 06/29/2016: Webster Investment Services - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-01 |
| S65 | Uniform Investment Adviser Law Examination | 1993-03-11 |
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