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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2023-02-02 |
| OR | RA | APPROVED | 2017-11-02 |
Branch Locations
1 Sw Columbia St Ste 1650, Portland, OR 97204 • 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 |
|---|---|---|---|---|
| D.A. Davidson & Co. | Portland | OR | 07/2013 | 11/2017 |
| Lpl Financial, Llc | Portland | OR | 11/2017 | Present |
1. 11/02/2017 - STEINBERG INVESTMENT GROUP LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ PORTLAND, OR
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-02 |
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