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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-05-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Bank Na | Frankfort | IL | 09/2013 | Present |
| Lpl Financial Llc | Frankfort | IL | 08/2021 | Present |
1) 8/2021- BMO Investments Service- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2) 8/2021- BMO BANK NA- Financial Institution Duty/ Premier Banker- Inv. Related- Frankfort, IL- start date 7/2004- 160hrs/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-22 |
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