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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 | 2016-01-22 |
| OR | RA | APPROVED | 2005-10-21 |
Branch Locations
215 E. First Street, Ste B, Newberg, OR 97132-2752 • United States
2021 Ne Sandy Bvld, Portland, OR 97232 • United States
Dundee, OR • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Newberg | OR | 09/2005 | Present |
1. 6/27/2012: WINTER WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/17/2020 - No Business Name - Investment Related - Newberg, OR - Real Estate Rental - Start Date: 12/1/2020 - 2 Hours Per Month/0 Hours During Securities Trading - Purchase of this property for investment purposes/rental.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-24 |
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