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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-02-16 |
| MI | RA | APPROVED | 2018-03-02 |
Branch Locations
500 Renaissance Drive 102C, St. Joseph, MI 49085 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | St. Joseph | MI | 10/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | St. Joseph | MI | 11/2016 | 03/2018 |
| Lpl Financial Llc | Saint Joseph | MI | 03/2018 | Present |
1. 1/25/2019 - King Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2019 - 2 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-03 |
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