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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-12-01 |
| TX | RA | APPROVED | 2021-12-01 |
Branch Locations
4643 S Ulster Street Suite 550, Denver, CO 80237 • United States
Centennial, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Greenwood Village | CO | 11/2010 | 11/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2021 |
| Lpl Financial Llc | Denver | CO | 11/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-01-31 |
| S65 | Uniform Investment Adviser Law Examination | 2001-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-30 |
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