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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| CO | RA | APPROVED | 2021-07-21 |
| CT | RA | APPROVED | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| GA | RA | APPROVED | 2021-07-21 |
| ID | RA | APPROVED | 2021-07-21 |
| NH | RA | APPROVED | 2021-07-21 |
| NJ | RA | APPROVED | 2021-07-21 |
| NM | RA | APPROVED | 2021-07-21 |
| OH | RA | APPROVED | 2021-07-21 |
| PA | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Carlsbad | CA | 08/1994 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Carlsbad | CA | 09/1994 | 07/2021 |
| Lpl Financial Llc | Estero | FL | 07/2021 | Present |
9/1994-PRESENT,VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES; CARLSBAD, CA; INVESTMENT RELATED: Y; INSURANCE SALES; INSURANCE AGENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-18 |
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