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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2016-01-26 |
Branch Locations
8875 Cincinnati Dayton Rd, West Chester, OH 45069 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | West Chester | OH | 01/2016 | Present |
1. 1/26/2016 - Cincinnati Investment Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/4/16 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 11/30/2018 - No Business Name - Not Investment Related - Hamilton County - Other-Notary - Started 12/07/2016 - 1 Hours Per Month/0 Hours During Securities Trading - Notary for Hamilton County.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-17 |
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