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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2026-02-24 |
| TX | RA | APPROVED | 2021-03-25 |
| IL | RA | APPROVED | 2021-03-24 |
Branch Locations
395 N Executive Dr, Brookfield, WI 53005 • United States
St Charles, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Bank | Bartlett | IL | 01/2016 | 12/2018 |
| Bmo Harris Financial Advisors | Naperville | IL | 12/2018 | Present |
| Lpl Financial Llc | Naperville | IL | 03/2021 | Present |
1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - NAPERVILLE,IL
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-12 |
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