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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-05-18
  • MA RA
    APPROVED
    Since 2022-05-18

Branch Locations

29 Andover St, Danvers, MA 01923 • United States

100 Macy St, Amesbury, MA 01913 • United States

600 Main Street, Waltham, MA 02452-5581 • United States

345 Main Street, Tewksbury, MA 01876 • United States

530 Grafton St, Worcester, MA 01604 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Leominster MA 05/2014 01/2018
Cuna Brokerage Services, Inc. Waverly IA 01/2018 Present
Cuna Mutual Group Waverly IA 01/2018 Present
Lpl Financial Llc Waltham MA 05/2022 Present
  • 05/2014 → 01/2018
    Leominster, MA
  • 01/2018 → Present
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 01/2018 → Present
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → Present
    Waltham, MA
Previous Registrations
  • 2018-01-29 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Tewksbury, MA
    Waltham, MA
    Worcester, MA
  • 2014-05-27 → 2018-01-23
    Townsend, MA
  • 2011-12-20 → 2014-05-15
    Acton, MA
    Littleton, MA
    Groton, MA
    Tewksbury, MA
    Gardner, MA
    Andover, MA
    Lawrence, MA
Other Businesses

1. 12/19/2024- BrightBridge Investment & Retirement Group- DBA for LPL Business (entity for LPL business)- INV Related- AT Reported Business Location(s)- Start date 03/24/2025- 160 Hours Per Month- 32 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-19
S63 Uniform Securities Agent State Law Examination 2006-12-30
  • S65 Uniform Investment Adviser Law Examination
    2011-12-19
  • S63 Uniform Securities Agent State Law Examination
    2006-12-30
Designations
  • Certified Financial Planner
Other Names
  • Christine Elizabeth Godin

View on SEC IAPD

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