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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2022-04-05 |
Branch Locations
310 W Walnut St, Green Bay, WI 54303 • United States
2700 S Oneida St, Green Bay, WI 54304 • United States
2700 S Oneida, Green Bay, WI 54304 • United States
Appleton, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Green Bay | WI | 02/2013 | Present |
| Bmo Harris Bank | Green Bay | WI | 09/2022 | Present |
(1) 3/31/2021 - No Business Name - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Started 02/24/2021 - 0 Hours Per Month - Listed Power of Attorney in parents POA documents. (2) 06/06/2024 - BMO Investment Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 10/3/2022 - 40 Hrs/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-03 |
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