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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_RES | 2025-02-05 |
| IL | RA | APPROVED | 2025-01-23 |
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 |
|---|---|---|---|---|
| Northern Trust Bank | Chicago | IL | 02/2010 | 12/2017 |
| Northern Trust Securities Inc | Chicago | IL | 08/2010 | 12/2017 |
| Wintrust Investments Llc | Chicago | IL | 11/2024 | 01/2025 |
| Wintrust Investments Llc | Chicago | IL | 09/2019 | 01/2022 |
| Bmo | Chicago | IL | 02/2022 | 04/2023 |
| Unemployed | Chicago | IL | 05/2023 | 11/2023 |
| Byline Bank | Chicago | IL | 12/2023 | 09/2024 |
| Unemployed | Chicago | IL | 01/2018 | 08/2019 |
| Wintrust Investments Llc | Chicago | IL | 01/2025 | 01/2025 |
| Lpl Financial Llc | Chicago | IL | 01/2025 | Present |
1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 12/03/2024- 160 Hours Per Day- 160 Hours During Trading 2. 12/08/2025-Albank Investments-Inv Related-At Chicago, IL-Start date 12/8/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-27 |
| S65 | Uniform Investment Adviser Law Examination | 2000-09-26 |
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