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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2024-11-21 |
| TX | RA | APPROVED_RES | 2024-11-13 |
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 |
|---|---|---|---|---|
| Lincoln Financial Advisors Corporation | Naperville | IL | 06/1998 | 11/2024 |
| Lpl Financial, Llc | Naperville | IL | 11/2024 | Present |
1) 08/2024 - Academy Financial / Non-Variable Insurance / Inv. Related / Naperville, IL 60540 / Start date 04/01/2022 - 3 Hrs per month - 5% Time Spent 2) 08/2024 - Academy Financial /DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-04-14 |
| S66 | Uniform Combined State Law Examination | 1998-02-28 |
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