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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-03-26
OR RA APPROVED 2022-10-04
  • TX RA
    APPROVED
    Since 2024-03-26
  • OR RA
    APPROVED
    Since 2022-10-04

Branch Locations

Portland, OR • United States

Tualatin, OR • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Big 5 Sporting Goods Salem OR 03/2019 01/2020
Amazon Salem OR 06/2020 09/2020
H&R Block Salem OR 01/2021 04/2021
Keybank Salem OR 06/2021 09/2021
H&R Block Salem OR 01/2022 04/2022
Chemeketa Community College Salem OR 09/2018 06/2020
Oregon State University Corvallis OR 09/2020 Present
Cascade Middle & High School Turner OR 09/2011 09/2018
Lpl Financial Llc Tualatin OR 06/2022 Present
  • 03/2019 → 01/2020
    Big 5 Sporting Goods
    Salem, OR
  • 06/2020 → 09/2020
    Amazon
    Salem, OR
  • 01/2021 → 04/2021
    H&R Block
    Salem, OR
  • 06/2021 → 09/2021
    Keybank
    Salem, OR
  • 01/2022 → 04/2022
    H&R Block
    Salem, OR
  • 09/2018 → 06/2020
    Chemeketa Community College
    Salem, OR
  • 09/2020 → Present
    Oregon State University
    Corvallis, OR
  • 09/2011 → 09/2018
    Cascade Middle & High School
    Turner, OR
  • 06/2022 → Present
    Tualatin, OR
Other Businesses

1) 06/28/2022 - One Life Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/2022 2) 03/11/2026 - LeDay Management Corp - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Portland, OR - Start Date 02/22/2024 - 175 hours per month/ 76 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-02
  • S66 Uniform Combined State Law Examination
    2022-10-02

View on SEC IAPD

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