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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2016-06-15 |
Branch Locations
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 |
|---|---|---|---|---|
| Peoples Security Bank And Trust | Scranton | PA | 05/2016 | Present |
| Lpl Financial, Llc | Dallas | PA | 06/2016 | Present |
1) 06/09/2016 - Peoples Security Retirement Plan Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2) 06/10/2016 - Peoples Security Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business locations 3) 06/12/2016 - Ash Brokerage - Non-Variable Insurance - non-inv related - at reported business location(s) - start: 07/01/2016 - 16 hr/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-18 |
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