Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| MA | RA | APPROVED | 2024-09-19 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newton | MA | 12/2008 | 12/2017 |
| Bank Of America, Na | Newton | MA | 12/2009 | 12/2017 |
| Wells Fargo Clearing Services Llc | Wellesley | MA | 12/2017 | 08/2022 |
| Raymond James Financial Services, Inc | Newton Lower Falls | MA | 08/2022 | 05/2024 |
| Raymond James Financial Services Advisors, Inc | Newton Lower Falls | MA | 08/2022 | 05/2024 |
| North Atlantic Investment Partners , Llc | Newton Lower Falls | MA | 08/2022 | 05/2024 |
| Lpl Financial | Hamlet | MA | 08/2024 | Present |
| Unemployed | Hamlet | MA | 05/2024 | 08/2024 |
1- 04/06/2026 - GUER Inc. - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Newton, MA - Start Date 03/25/2026 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-08 |
Reach out to this advisor