Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| MO | RA | APPROVED | 2024-03-14 |
Branch Locations
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 |
|---|---|---|---|---|
| Mml Investors Services, Llc | Springfield | MO | 03/2017 | 07/2021 |
| Mass Mutual Life Insurance Co | Springfield | MO | 11/2016 | 07/2021 |
| Msi Financial Services, Inc. | Springfield | MO | 12/2016 | 03/2017 |
| State Farm, Mark Clippard Agency | Springfield | MO | 05/2016 | 11/2016 |
| Drury University | Springfield | MO | 07/2020 | 07/2021 |
| Missouri State University | Springfield | MO | 06/2020 | 05/2022 |
| Morgan Stanley | Springfield | MO | 08/2021 | 02/2023 |
| Synergy Wealth Solutions/Mass Mutual | Springfield | MO | 04/2023 | 07/2023 |
| Mml Investors Services Llc | Springfield | MO | 04/2023 | 07/2023 |
| Lpl Financial Llc | Springfield | MO | 03/2024 | Present |
| Simmons Bank | Springfield | MO | 03/2024 | Present |
| Ozarks Technical Community College | Springfield | MO | 11/2013 | Present |
1) 03/15/2024 - Ozarks Technical Community College - Outside/W-2 Employment - Adjunct Instructor of Business Administration - MO 65802 - Non investment related - 20 Hours per month - Start date: 11/01/2013. 2) 03/14/2024 - Simmons Investment - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-21 |
| S65 | Uniform Investment Adviser Law Examination | 2014-07-29 |
Reach out to this advisor