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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2020-10-09 |
| TX | RA | APPROVED_RES | 2020-10-07 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Morgan Stanley | Lexington | KY | 06/2014 | 09/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2017 |
| Wells Fargo Clearing Services Llc | Lexington | KY | 09/2017 | 09/2020 |
| Lpl Financial Llc | Lexington | KY | 10/2020 | Present |
1. 04/13/2023 - Kenwick Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - IAR - Start Date 02/01/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-20 |
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