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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-07-10 |
| NY | RA | APPROVED | 2025-07-10 |
Branch Locations
470 Mamaronek Avenue Suite 306, White Plains, NY 10605 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | White Plains | NY | 07/2011 | 07/2025 |
| Lpl Financial Llc | White Plains | NY | 07/2025 | Present |
1. 07/10/2025-Raben capital growth Corp- Non-Variable Insurance- INV Related- At Reported Business Location(s)-Start date 09/01/1972- 20 Hours Per Month- 5 Hours During Trading 2. 07/10/2025- Prospect Street LLC- Real Estate Rental- Not INV Related- At Greenwich, CT- Start date 08/01/2014- 5 Hours Per Month 3. 07/10/2025- Milbank Ave LLC- Real Estate Rental- Not INV Related- At Greenwich, CT- Start date 01/01/2003- 5 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-16 |
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