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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2022-01-11 |
Branch Locations
812 E Main Street, Greenfield, IN 46140 • United States
Ambridge, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Money Concepts Capital Corp | Palm Beach Gardens | FL | 10/2013 | 12/2021 |
| Lpl Financial Llc | Greenfield | IN | 12/2021 | Present |
1. 01/01/1999 - FORTY FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ GREENFIELD, IN
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-30 |
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