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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 | 2025-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Grove Point Investments Llc | Rockville | MD | 05/2022 | 05/2025 |
| Nationwide Children's Hospital | Columbus | OH | 07/2021 | Present |
| Children's Hospital Colorado | Aurora | CO | 06/2010 | 05/2021 |
| Legend Financial Services | Utica | OH | 03/2022 | Present |
| Lpl Financial Llc | Utica | OH | 05/2025 | Present |
1. 05/2025- Legend Financial Services LLC- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 03/01/2022- 80 Hours Per Month- 80 Hours During Trading 2. 05/2025- Nationwide Children's Hospital- Outside/W-2 Employment- Not INV Related- At Columbus, OH- Start date 06/30/2021- 12 Hours Per Month- 12 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-04 |
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