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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-02 |
| GA | RA | APPROVED | 2024-07-05 |
| PA | RA | APPROVED | 2023-01-06 |
Branch Locations
7094 Prosperity Cir, Sarasota, FL 34238 • United States
1130 12Th Ave, Ste 101, Altoona, PA 16601 • United States
Sarasota, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Linsco/Private Ledger Corp. | Altoona | PA | 07/2004 | Present |
1. 4/19/2012: DBA ONLY - FUSCO RILEY REISMEIER FINANCIAL GROUP, LLC. 2. 4/19/2012: FOR ACCOUNTING PURPOSES ONLY - FUSCO RILEY FINANCIAL, LLC - NOT HELD OUT TO THE PUBLIC. 3. 09/20/2022 - Fusco Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/01/2022 - 40 Hours Per Month/8 Hours During Securities Trading 4. 09/21/2022 - Chris Fusco Accounting and Tax - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Start Date - 10/01/2022 - 1 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-11 |
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