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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2024-06-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transportation Cabinet | Frankfort | KY | 10/2001 | 02/2017 |
| Primerica Life Insurance | Lexington | KY | 10/2001 | 03/2026 |
| Pfs Investments Inc. | Lexington | KY | 08/2021 | 11/2022 |
| Department Of Revenue | Frankfort | KY | 02/2017 | 12/2021 |
| Eccles Tax & Accounting Llc | Lawrenceburg | KY | 01/2021 | 06/2023 |
| Avantax Investment Services Inc. | Lawrenceburg | KY | 11/2022 | 06/2024 |
| Avantax Insurance Agency, Llc | Lawrenceburg | KY | 11/2022 | 06/2024 |
| Avantax Insurance Agency And/Or Avantax Insurance Services | Lawrenceburg | KY | 11/2022 | 06/2024 |
| Avantax Advisory Services | Lawrenceburg | KY | 05/2023 | 06/2024 |
| Lpl Financial Llc | Lawrenceburg | KY | 06/2024 | Present |
1) 06/07/2024 - Integrity Wealthcare, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - Start Date 05/30/2024 - 160 Hours per month/ 8 hours during trading 2) 06/07/2024 - ECCLES TAX & ACCOUNTING LLC - Tax Prep/Accounting/CPA - accounting bookkeeping services - Owner - Lawrenceburg, KY - Investment related - 25 Hours per month/ 5 hours during trading - Start date: 05/30/2024. 3) 06/07/2024 - John Eccles - Non-Variable Insurance - At Reported Business Location(s) - Investment related - 5 Hours per month/ during trading - Start date: 05/30/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2021-11-18 |
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