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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 | 2020-06-12 |
| NE | RA | APPROVED | 2020-02-25 |
Branch Locations
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 | Omaha | NE | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Omaha | NE | 11/2016 | 09/2019 |
| Retired | Omaha | NE | 10/2019 | 02/2020 |
| Lpl Financial Llc | Omaha | NE | 02/2020 | Present |
1)02/21/2020 - NAVIQ Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 02/2020
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-10 |
| S65 | Uniform Investment Adviser Law Examination | 1994-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-24 |
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