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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED_RES | 2024-01-24 |
Branch Locations
13255 W Bluemound Rd Ste 100, Brookfield, WI 53005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2013 | 01/2024 |
| Northwestern Mutual Investment Services Llc | Germantown | WI | 09/2013 | 01/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 01/2024 |
| Lpl Financial | Elm Grove | WI | 01/2024 | Present |
1. 02/13/2024 - Grey Owl Investment Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/12/2024 - 50 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-12 |
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