Best Investors Account Sign in
Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-31
MD RA APPROVED 2021-06-09
  • TX RA
    APPROVED_RES
    Since 2023-08-31
  • MD RA
    APPROVED
    Since 2021-06-09

Branch Locations

8314 Pulaski Highway, Baltimore, MD 21237 • United States

8200 Harford Rd., Baltimore, MD 21234 • United States

6889 Loch Raven Blvd., Towson, MD 21286 • United States

5225 Belair Rd., Baltimore, MD 21206 • United States

7604 Bel Air Rd., Baltimore, MD 21236 • United States

Bel Air, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
M&T Securities, Inc Baltimore MD 06/2015 Present
Lpl Financial Llc Baltimore MD 06/2021 Present
  • 06/2015 → Present
    M&T Securities, Inc
    Baltimore, MD
  • 06/2021 → Present
    Baltimore, MD
Previous Registrations
  • 2015-07-09 → 2021-06-09
    M&T Securities, Inc.
    Timonium, MD
    Baltimore, MD
    Baltimore, MD
    Towson, MD
    Baltimore, MD
    Baltimore, MD
    Wilmington, DE
    Timonium, MD
    Annapolis, MD
    Baltimore, MD
  • 2013-07-30 → 2015-07-02
    Msi Financial Services, Inc.
    Elkridge, MD
    Rockville, MD
    Baltimore, MD
Other Businesses

1- 11/21/2024 - Wilmington Advisors @ M&T - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) -Start Date 06/14/2021 - 160 Hours Per Month/ During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-07-02
S63 Uniform Securities Agent State Law Examination 2009-05-06
  • S66 Uniform Combined State Law Examination
    2013-07-02
  • S63 Uniform Securities Agent State Law Examination
    2009-05-06

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Baltimore, MD

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor