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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2022-10-07 |
| TX | RA | APPROVED | 2022-10-04 |
Branch Locations
254 Moulton Street Suite 200, Decatur, AL 35601 • 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 |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Decatur | AL | 02/2013 | 10/2022 |
| Lpl Financial | Decatur | AL | 10/2022 | Present |
1- 10/2022 / The Albany Group / DBA for LPL Business (entity for LPL business) / Investment Related / Decatur, AL 2. 1/23/2023 - North Alabama Pinestraw - Not Investment Related - Home Based - Business Owner - Owner - Start Date - 09/20/2021 - 4 Hours Per Month/0 Hours During Securities Trading 3. 01/26/2026 - TDR S Corporation - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 10/04/2022 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-21 |
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