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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2020-09-23 |
| TX | RA | APPROVED | 2020-09-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Coeur D Alene | ID | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Coeur D Alene | ID | 11/2016 | 09/2020 |
| Lpl Financial, Llc | Dalton Gardens | ID | 09/2020 | Present |
1. 09/23/2020 - CLARITY WEALTH STRATEGIES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ DALTON GARDENS, ID 2. 01/08/2024: No Business name - Inc Related - Sarasota, FL - Real Estate Rental - Started: 1/14/2022 - 1 Hr/mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-27 |
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