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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 |
|---|---|---|---|
| TN | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company | Franklin | TN | 02/2009 | 11/2019 |
| Park Avenue Securities Llc | Franklin | TN | 05/2009 | 11/2019 |
| Mass Mutual Life Insurance Company | Franklin | TN | 10/2019 | 05/2023 |
| Mml Investors Services, Llc | Franklin | TN | 11/2019 | 04/2023 |
| Lpl Financial Llc | Frankilin | TN | 05/2023 | Present |
1) 05/11/2023 - Mass Mutual Life Insurance - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/08/2023 - 32 Hours Per Month/ 8 Hours During Trading 2) 02/28/2024 - Boundbrook.Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/30/2024 - 160 Hours Per Month/ 160 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 2010-01-06 |
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