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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2002-11-18 |
Branch Locations
8465 Keystone Xing Ste 195, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Indianapolis | IN | 05/2001 | Present |
1. 10/02/2001 - TRADITIONAL LIFE INSURANCE SALES - OUTSIDE SALES OF NON-VARIABLE INSURANCE. 2. 04/27/2011 - DBA ONLY, RETIREMENT COUNSELING SERVICES. 3. 3/14/2013: NON-VARIABLE INSURANCE - SELL INDIVIDUAL HEALTH INSURANCE POLICIES, LONG TERM CARE AND NON-VARIABLE LIFE INSURANCE POLICIES. - TIME SPENT 5% - INDIANAPOLIS, IN.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1984-08-24 |
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