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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-05-01 |
Branch Locations
7000 Harps Mill Rd Ste 103, Raleigh, NC 27615-3241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Durham | NC | 12/2018 | 04/2023 |
| Fidelity Investments | Durham | NC | 02/2018 | 12/2018 |
| East Carolina University | Greenville | NC | 08/2012 | 12/2017 |
| Bonefish Grill | Greenville | NC | 10/2017 | 02/2018 |
| Campus Towers | Greenville | NC | 01/2016 | 08/2017 |
| Fidelity Invesments | Durham | NC | 06/2017 | 09/2017 |
| Lpl Financial Llc | Raleigh | NC | 04/2023 | Present |
1) 04/2023 - Compass Financial Group - DBA for LPL Business (entity for LPL business) - Inv. Related - Raleigh, NC
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-01 |
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