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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 | 2020-01-24 |
Branch Locations
10 Broad St., Suite 202, Red Bank, NJ 07701 • United States
Fair Haven, NJ • 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 |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Philadelphia | PA | 01/2002 | 01/2020 |
| Lpl Financial, Llc | Red Bank | NJ | 01/2020 | Present |
1. 01/24/2020 - GLADSTONE ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ RED BANK, NJ
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-13 |
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