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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2022-01-28 |
| CO | RA | APPROVED | 2017-10-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Financial | Castle Rock | CO | 09/2014 | 06/2017 |
| Voya Financial Partners, Llc | Castle Rock | CO | 02/2015 | 06/2017 |
| Lpl Financial Llc | Denver | CO | 06/2017 | Present |
1. 12/18/2018 - PWM Planning - DBA: PWM Retirement Plan Solutions - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/26/2018 - 40 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 2003-12-17 |
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