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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-03-08 |
| TX | RA | APPROVED_RES | 2024-03-08 |
Branch Locations
1177 Avenue Of The Americas Ste 5133, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 03/2024 |
| Lpl Financial Llc | New York | NY | 03/2024 | Present |
1)02/26/2024 - Walnut Beech Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2024 - 160 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-13 |
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