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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2021-05-17 |
| TX | RA | APPROVED | 2021-05-17 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Berwyn | PA | 09/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Berwyn | PA | 11/2016 | 04/2021 |
| Lpl Financial, Llc | Glenmoore | PA | 05/2021 | Present |
1. 5/17/2021 - MOFFITT INVESTMENT MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 5/2021. 2. 06/17/2022 - Moffitt Apples - Not Investment Related - At Reported Business Location(s) - Other - Business Owner - Farmer - Start Date - 09/01/2022 - 8 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-11 |
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