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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 |
|---|---|---|---|
| WA | RA | APPROVED | 2021-10-21 |
| TX | RA | APPROVED | 2021-10-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Seattle | WA | 07/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Seattle | WA | 11/2016 | 09/2021 |
| Lpl Financial Llc | Lake Forest Park | WA | 10/2021 | Present |
1)09/22/2021 - Lake Forest Park Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2021 - 160 Hr/Mth 2)09/27/2022 - No Business Name - Investment Related - Leavenworth WA 98155 - Real Estate Rental - Start Date - 09/01/2022 - 5 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 2010-09-13 |
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