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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 | 2024-02-27 |
| CT | RA | APPROVED | 2022-08-17 |
Branch Locations
1845 Farmington Avenue, Unionville, CT 06085 • United States
1191 Farmington Ave, Berlin, CT 06037 • United States
1 Financial Plaza, Hartford, CT 06103 • United States
150 New Park Avenue, Hartford, CT 06106 • United States
99 Linwood Avenue, Colchester, CT 06415 • United States
1013 Farmington Avenue, West Hartford, CT 06107 • United States
1095 Main St, Newington, CT 06111 • United States
73 Broad St, New Britain, CT 06053 • United States
117 East Street, Plainville, CT 06062 • United States
714 North Main Street, West Hartford, CT 06117 • United States
315 Cottage Grove Rd., Bloomfield, CT 06002 • United States
Colchester, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| People'S Securities, Inc. | West Hartford | CT | 05/2014 | 08/2022 |
| People'S United Advisors | West Hartford | CT | 05/2018 | Present |
| Lpl Financial Llc | Colchester | CT | 08/2022 | Present |
1. 08/18/2022 - Wilmington Advisors at M&T - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor - Start Date: 08/18/2022 - 160 Hours Per Month/150 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2009-06-17 |
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