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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-02-02 |
| TX | RA | APPROVED | 2011-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Frisco | TX | 08/2011 | Present |
1. 10/16/2012: WILLOWBROOK WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 02/19/2014 - PLANO WEST HOCKEY CLUB - COACHING - HEAD COACH FOR PLANO WEST JUNIOR VARSITY CLUB HOCKEY TEAM. COACH ONE PRACTICE BEFORE SCHOOL ON FRIDAY MORNING AND COACH ONE GAME ON SUNDAY AFTERNOON/EVENING DURING THE WINTER SEASON. COACH ONE GAME ON SUNDAY AFTERNOON/EVENING DURING THE SUMMER. - TIME SPENT 2% 3. 3/4/2020 - McKinney North Stars - Not Investment Related - 6993 Stars Ave, McKinney, Tx 75070 - Other-coaching - Assistant Coach - Started 08/28/2014 - 24 Hours Per Month/0 Hours During Securities Trading - Assistant coach for McKinney North Stars Youth Hockey organization.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-03 |
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