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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2023-03-13 |
| MN | RA | APPROVED | 2014-01-21 |
Branch Locations
8000 W 78Th St Ste 150, Edina, MN 55439-2543 • United States
2 Teton Springs Pkwy Ste 207, Victor, ID 83455 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Edina | MN | 11/2009 | Present |
1. 11/10/2009 - Arazon Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/17/2022 - Peak Pro Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 11/02/2022 - 5 Hours Per Month/3 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-18 |
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