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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2018-10-19 |
| TX | RA | APPROVED | 2018-10-19 |
Branch Locations
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 |
|---|---|---|---|---|
| Cetera Advisor Networks | El Segundo | CA | 05/2013 | 10/2018 |
| Lpl Financial | Glen Ellyn | IL | 10/2018 | Present |
1)10/19/2018 - DBA for LPL Business (entity for LPL business) - INTEGRITY FINANCIAL MANAGEMENT, INC - 100% - INVESTMENT RELATED - GLEN ELLYN, IL 60137 2)10/19/2018 - Non-Variable Insurance - TOM PRYBYLO - 10% - INVESTMENT RELATED - GLEN ELLYN, IL 60137 3)02/05/2024 - Exemplar Financial Network - Inv Related - At Reported Business location(s) - DBA for LPL Business (entity for LPL business) - Started: 11/1/2010 - 8 Hrs/mo During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-09 |
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