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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2024-06-12 |
Branch Locations
5965 Technology Center Dr, Zionsville, IN 46077 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Indiana State University | Terre Haute | IN | 08/2009 | 08/2017 |
| Pnc Investments | Indianapolis | IN | 02/2015 | 10/2016 |
| Pnc Bank | Indianapolis | IN | 02/2015 | 10/2016 |
| Td Ameritrade, Inc | Indianapolis | IN | 10/2016 | 06/2019 |
| Jp Morgan Securities Llc | Indianapolis | IN | 06/2019 | 05/2020 |
| Jp Morgan Chase Bank, N.A. | Indianapolis | IN | 06/2019 | 05/2020 |
| Td Ameritrade Investment Management, Llc | Indianapolis | IN | 11/2016 | 06/2019 |
| Fidelity Brokerage Services Llc | Carmel | IN | 05/2020 | 10/2022 |
| Howard Bailey | Brownsburg | IN | 04/2023 | 05/2023 |
| Sabbatical | Indianapolis | IN | 10/2022 | 04/2023 |
| The Prudential Insurance Company Of America | Indianapolis | IN | 07/2023 | 09/2023 |
| Pruco Securities Llc | Indianapolis | IN | 07/2023 | 09/2023 |
| Foundations Investment Advisors, Llc | Carmel | IN | 09/2023 | 12/2023 |
| Centra Credit Union | Columbus | IN | 05/2024 | Present |
| Lpl Financial Llc | Columbus | IN | 06/2024 | Present |
| Unemployed | Indianapolis | IN | 12/2023 | 05/2024 |
1) 06/12/2024 - Centra Financial Services - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-18 |
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