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CRD 6412244
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 | 2018-11-08 |
Branch Locations
110 East Blvd., Ste 1500, Charlotte, NC 28203 • United States
3135 Dallas High Shoals Hwy, Dallas, NC 28034 • United States
649 Brawley School Rd, Mooresville, NC 28117 • United States
13731 Providence Rd., Weddington, NC 28104 • United States
192 E Woodrow Ave, Belmont, NC 28012 • United States
412 S Highway 27, Stanley, NC 28164 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities, Llc | Charlotte | NC | 03/2015 | 12/2017 |
| Pnc Investments | Charlotte | NC | 03/2018 | 10/2018 |
| Lpl Financial Llc | Charlotte | NC | 11/2018 | Present |
1)11/08/2018 - South State Investment Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-10 |
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