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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 | 2022-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Jacksonville | FL | 03/2016 | 02/2022 |
| Principal Life Insurance Co | Jacksonville | FL | 03/2016 | 02/2022 |
| South State Bank | Jacksonville | FL | 02/2022 | Present |
| Lpl Financial Llc | Jacksonville | FL | 03/2022 | Present |
1)3/2022- South State Investment Services- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 2)3/2022- South State Bank - Financial Institution Duty/ Retirement Plan Consultant- inv. related- Jacksonville, FL- 4hrs/mth- start dat 2/22/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-15 |
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