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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 | 2015-01-10 |
| IA | RA | APPROVED | 1999-01-01 |
Branch Locations
2700 Westown Pkwy Ste 405, West Des Moines, IA 50266 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | West Des Moines | IA | 12/1992 | Present |
| Premier Bank | West Des Moines | IA | 01/2010 | 05/2019 |
1. 6/16/2008: Polo, LC - Other - Part Owner - Originally approved in 1997 by Michele Comarsh. 2. 7/16/2018 - Kicking Horse Ranch - Not Investment Related - Home Based - Other-Business Owner - Start Date: 05/15/2016 - 20 Hours Per Month/0 Hours During Securities Trading - Buy, train and make polo ponies, some to keep, some to sell. 3. 03/06/2024 - Northington Hall - Inv Related - Wagener, SC - Business Entity For Tax/Investment Purposes Only - Started: 4/1/2024 - 20 Hrs/Mo; 1 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1981-05-02 |
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