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CRD 7580257
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 |
|---|---|---|---|
| IA | RA | APPROVED | 2022-09-26 |
Branch Locations
3465 Asbury Road, Dubuque, IA 52002 • United States
2900 S 25Th St. Ste A, Clinton, IA 52732 • United States
1161 16Th Avenue Se, Dwyersville, IA 52040 • United States
18072 Ia-64, Maquoketa, IA 52060 • United States
337 S Main Street, Monticello, IA 52310 • United States
2330 E 53Rd Street, Davenport, IA 52807 • United States
4343 Utica Ridge Road, Bettendorf, IA 52722 • United States
2770 Middle Rd, Bettendorf, IA 52722 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dutrac Community Cu | Dubuque | IA | 06/2022 | Present |
| Hyvee | Cedar Falls | IA | 01/2020 | 05/2022 |
| Candlelight Inn | Clinton | IA | 07/2017 | 12/2019 |
| Clinton High School | Clinton | IA | 08/2014 | 05/2018 |
| Lpl Financial | Dubuque | IA | 06/2022 | Present |
1-06/2022 / DuTrac Financial Group / DBA for LPL Business (entity for LPL business) / Investment Related / Dubuque, Iowa
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-09-23 |
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