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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 | 2009-10-21 |
Branch Locations
4890 W Kennedy Blvd Ste 860, Tampa, FL 33609 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Tampa | FL | 07/2009 | Present |
1. 6/2/2010: NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - INV REL - AT REPORTED BUSINESS LOCATION - MRS. DORIS HODGES, MY MOTHER. I AM A CO-TRUSTEE WITH MY BROTHER FOR MY MOTHER'S TRUST. 2. 2/16/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Notary Public - Notary backup - Start Date - 08/06/2020 - 1 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-14 |
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