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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-10-13 |
| SC | RA | APPROVED | 2021-10-07 |
Branch Locations
1055 Lpl Way, Fort Mill, SC 29715 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | New Brunswick | NJ | 01/1999 | 03/2018 |
| The Prudential Insurance Company Of America | Basking Ridge | NJ | 03/2019 | 07/2019 |
| Pruco Securites Corporation Llc | Basking Ridg | NJ | 03/2019 | 07/2019 |
| Unemployed | Milltown | NJ | 04/2018 | 03/2019 |
| National Securities Corp | Eatontown | NJ | 08/2019 | 09/2021 |
| National Asset Management | Eatontown | NJ | 08/2019 | 09/2021 |
| Lpl Financial Llc | Milltown | NJ | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-08 |
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