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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 | 2023-04-12 |
| HI | RA | APPROVED | 2016-07-29 |
Branch Locations
1585 Kapiolani Blvd Ste 1188, Honolulu, HI 96814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Honolulu | HI | 07/2016 | Present |
1. 7/29/2016 - Anton Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 7/13/2016 - 189 Hours Per Month/9 Hours During Securities Trading - Time Spent 100%. 2. 10/10/2017 - No Business Name - Not Investment Related - At Reported Business Location(s) - Notary - Started 05/22/2017 - 1 Hours Per Month During Securities Trading - Notary Public for the State of Hawaii. 3. 03/06/2024 - No Business Name - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Broker/Producer - Started: 2/23/2024 - 4 Hrs/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-13 |
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