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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-25 |
| PA | RA | APPROVED | 2019-10-01 |
Branch Locations
Bridgeville, PA • United States
300 Mount Lebanon Blvd Ste 2214, Pittsburgh, PA 15234 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Co | Pittsburgh | PA | 11/2015 | 02/2018 |
| Nylife Securities Llc | Pittsburgh | PA | 11/2015 | 02/2018 |
| Eagle Strategies Llc | Pittsburgh | PA | 01/2016 | 02/2018 |
| The Huntington Investment Company | Pittsburgh | PA | 02/2018 | 06/2018 |
| Nationwide Securities Llc | Lower Burrell | PA | 07/2018 | 10/2019 |
| Nationwide Financial | Lower Burrell | PA | 07/2018 | 10/2019 |
| Lpl Financial Llc | Lower Burrell | PA | 10/2019 | Present |
1)09/03/2019 - Sterling Heights Financial Group, LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 10/2019 - 160 hr/mth 2)09/03/2019 - Daniel Carinci Agency LLC- Non-Variable Insurance - inv rel - at reported business location(s) - start: 08/2018 - 8 hr/mth 3) 12/20/2019 - Underwriters Brokerage Service - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/01/2019 - 1 Hour Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 2009-06-29 |
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