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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2021-04-15 |
| TX | RA | APPROVED_RES | 2021-04-14 |
Branch Locations
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Green Bay | WI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Green Bay | WI | 11/2016 | 04/2021 |
| Lpl Financial, Llc | Menasha | WI | 04/2021 | Present |
1- 10/08/2024 - UPS United Parcel Service - Outside/W-2 Employment - Delivery Driver - Not Investment Related - Neenah and Menasha, WI - Start Date 10/30/2024 - 20 Hours per Month/ 3 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-11 |
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