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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-17 |
| FL | RA | APPROVED | 2025-02-17 |
| CT | RA | APPROVED | 2021-07-21 |
| PA | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Southbury | CT | 10/2001 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Southbury | CT | 10/2001 | 07/2021 |
| Lpl Financial Llc | Southbury | CT | 07/2021 | Present |
10/2001 - PRESENT, VARIOUS INSURANCE CARRIERS FOR W & R INSURANCE AGENCIES, INVESTMENT RELATED, INSURANCE SALES, INSURANCE AGENT, SOUTHBURY CT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-20 |
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