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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 | 2021-07-21 |
| FL | RA | APPROVED | 2021-07-21 |
| NM | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
| UT | RA | APPROVED | 2021-07-21 |
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 |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Manitou Springs | CO | 01/1995 | Present |
| Various Insurance Carriers For W&R Insurance Agencies | Manitou Springs | CO | 07/1996 | Present |
| Denise A Deleo, Inc | Manitou Springs | CO | 07/1996 | Present |
| Lpl Financial Llc | Manitou Springs | CO | 07/2021 | Present |
1)07/26/2021 - Denise A. DeLeo Inc - Business Entity For Tax/Investment Purposes Only - Inv Rel - At Reported Business Location(s) - Start: 1997 - 2% of time 2) 09/04/2025- Associates of Clifton Park- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 04/01/2024- 5 Hours Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-23 |
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