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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2022-12-01 |
| TX | RA | APPROVED | 2022-11-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Co | New Albany | IN | 03/2016 | 12/2020 |
| Principal Securities, Inc. | New Albany | IN | 03/2016 | 10/2022 |
| Grace Financial Services | New Albany | IN | 08/2016 | Present |
| Lpl Financial | New Albany | IN | 10/2022 | Present |
1) 11/2022 - Non-Variable Insurance / Invest Related / 5HRs Month / 2) 11/2022 - Nature's Sunshine Products, Inc. / Other - MLM / Not Invest Related / 3) 11/2022 - Loan / Loan from Family member 02/01/2011 / Invest Related / New Albany, IN 4) 08/2016 - GRACE FINANCIAL SERVICES LLC / DBA for LPL Business (entity for LPL business) / Invest Related / New Albany, IN 5) 11/2022 - Notary / Investment Related / New Albany, IN 6) 05/19/2023 - From the Ground Up Homestead - Not Investment Related - Home Based - Other - Business Owner - Start Date 04/07/2023 - 2 Hours Per Month/0 Hours During Securities Trading 7) 07/11/2023 - No Business Name - Investment Related - Memphis, IN - Real Estate Rental - Start Date 07/01/2023 - 3 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-20 |
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