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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-05-01 |
| TX | RA | APPROVED | 2024-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | New Haven | CT | 10/2021 | 04/2022 |
| Hans Kissle Company | Haverhill | CT | 07/2017 | 10/2021 |
| Snyders-Lance/Snack Factory Llc | Charlotte | NC | 01/2014 | 06/2017 |
| Janney Montgomery Scott Llc | New Haven | CT | 04/2022 | 01/2023 |
| Janney Montgomery Scott Llc | New Haven | CT | 01/2023 | 05/2024 |
| Lpl Financial Llc | New Haven | CT | 05/2024 | Present |
1.04/10/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name KINGFISHER PRIVATE WEALTH LLC; Investment Related; at Reported Business Location(s); Start Date 04/08/2026; 160hrs/mth; 140hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-01 |
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