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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| FL | RA | APPROVED | 2020-02-14 |
Branch Locations
306A Grooms Rd, Clifton Park, NY 12065 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Halfmoon | NY | 04/1996 | Present |
1. 5/2/2003: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - SELLING TERM LIFE INSURANCE THROUGH SECURITY MUTUAL AND CAN. 2. 3/18/2014: ASTERINO, CPA, PC - CPA/Bookkeeper/Tax Preparer - Time Spent 70% - General Accounting, AICPA Compilation Financial Statements, Income Tax preparation
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-18 |
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