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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2022-03-21 |
| TX | RA | APPROVED_RES | 2022-03-21 |
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 |
|---|---|---|---|---|
| First Financial Equity Corporation | Denver | CO | 04/2009 | 03/2022 |
| Lpl Financial, Llc | Greenwood Village | CO | 03/2022 | Present |
1) 1985 - Non-Variable Insurance - Lisa Rizzo - 1hr/mon - Greenwood Village, CO 80111 2) 2022 - Business Entity For Tax/Investment Purposes Only - Integrated Wealth Management - Not Investment Related - 1hr/mon - Littleton, CO 80127
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-30 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-05 |
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