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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
22 Ryan Drive, Geneseo, NY 14454 • United States
4214 Veterans Memorial Drive, Batavia, NY 14020 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Geneseo | NY | 10/2012 | Present |
| Esl Investment Services Llc | Geneseo | NY | 09/2012 | Present |
1. 11/9/2012 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/10/2018 - ESL Investment Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/10/2014 - 20 Hours Per Month/1 Hour During Securities Trading - Life, Disability, Long Term Care, Fixed Annuities
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-07-10 |
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