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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-07-21 |
| PA | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
Branch Locations
Port Charlotte, FL • United States
5275 E Trindle Rd Ste 201, Mechanicsburg, PA 17050 • United States
1402 S Atherton St Ste 209, State College, PA 16801 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Securities, Inc. | State College | PA | 12/2013 | 11/2020 |
| Waddell & Reed, Inc. | Hollidaysburg | PA | 11/2020 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Hollidaysburg | PA | 11/2020 | 07/2021 |
| Lpl Financial Llc | Hollidaysburg | PA | 07/2021 | Present |
1) 01/01/2017 - DBA for LPL Business (entity for LPL business) / Jones Financial Group / Investment Related / Mechanicsburg PA 17050 2) 07/2021 - Non-Variable Insurance / James Stein / Investment Related / 0Hrs/Mo / Mechanicsburg PA 17050 3) 07/09/2024 - Edison Risk - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 7/11/2024 - 4 Hrs/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-08 |
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