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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 | 2021-05-01 |
| NJ | RA | APPROVED | 2021-04-30 |
Branch Locations
20 Community Pl Ste 100, Morristown, NJ 07960 • 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 Financial Network Llc | Florham Park | NJ | 05/2009 | 04/2021 |
| Lpl Financial Llc | Morristown | NJ | 04/2021 | Present |
1) 4/2021 - DBA for LPL Business (entity for LPL business) - Investment Strategies Advisors, LLC - Investment Related - Morristown, NJ 07960
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1982-01-28 |
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