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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-08-29 |
| OH | RA | APPROVED | 2004-04-05 |
Branch Locations
4555 Lake Forest Dr, Ste 650, Cincinnati, OH 45242 • United States
Loveland, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Linsco/Private Ledger | Cincinnati | OH | 04/2004 | Present |
1. 8/22/2011 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - VICEROY WEALTH COUNSEL - CINCINNATI, OH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-22 |
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