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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2023-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Augusta | GA | 06/2009 | 10/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2023 |
| Lpl Financial Llc | Augusta | GA | 10/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
1) 10/13/2023 - JLO Group LP - Family Limited Partnership - partner - GA 30909 - Non investment related - 1 Hour per month - Start date: 01/01/2017.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-09 |
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