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CRD 2447178
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 |
|---|---|---|---|
| KS | RA | APPROVED | 2023-11-07 |
| TX | RA | APPROVED | 2023-10-31 |
Branch Locations
4910 Corporate Centre Drive, Lawrence, KS 66047 • United States
4910 Corporate Centre Drive Suite 101, Lawrence, KS 66047 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
7381 W 133Rd St Ste 200, Overland Park, KS 66213 • United States
Topeka, KS • United States
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 |
|---|---|---|---|---|
| National Planning Corporation | Topeka | KS | 03/2006 | 09/2017 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 09/2017 | 10/2023 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 09/2017 | 10/2023 |
| Lpl Financial Llc | Lawrence | KS | 10/2023 | Present |
1)10/30/2023 - DMBRUCE WEALTH SOLUTIONS - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2014 - 120 Hr/Mth 2)10/30/2023 - DM BRUCE INSURANCE LLC - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 01/2014 - 20 Hr/Mth 3)10/30/2023 - DM Bruce Associates. LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Lawrence, KS - Start: 01/2014 - 120 Hr/Mth 4)10/30/2023 - Adams Wealth Man Agreement, LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Lawrence, KS - Start: 08/2011
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-25 |
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