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CRD 5100612
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 |
|---|---|---|---|
| NJ | RA | APP_PEND_IARCE | 2026-01-01 |
| NY | RA | APPROVED | 2022-08-16 |
| TX | RA | APPROVED_RES | 2022-08-16 |
Branch Locations
6740 Route 9, Rhinebeck, NY 12572 • United States
1639 Ulster Ave (Rte 9W), Lake Katrine, NY 12449 • United States
561 Warren St, Hudson, NY 12534 • United States
1925 Curry Rd, Rotterdam, NY 12306 • United States
7 Halfmoon Crossing, Halfmoon, NY 12065 • United States
98 Wolf Rd, Colonie, NY 12205 • United States
50-52 Main St, Chatham, NY 12037 • United States
2532 Route 9, Malta, NY 12020 • United States
1704 Western Ave, Albany, NY 12203 • United States
120 Mansion Blvd, Niskayuna, NY 12304 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Mutual Group | Waverly | IA | 01/2021 | 05/2022 |
| Cuna Brokerage Services Inc. | Waverly | IA | 01/2021 | 05/2022 |
| Ubs Group Ag | New York | NY | 10/2008 | 06/2019 |
| Evva Technologies | New York | NY | 03/2020 | 12/2020 |
| Supero | New York | NY | 06/2019 | 03/2020 |
| Lpl Financial Llc | Kingston | NY | 05/2022 | Present |
1) 10/22/2024 - Wealth Management at Hudson Valley Credit Union - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/19/2024 - 160 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-03-22 |
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