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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 |
|---|---|---|---|
| OR | RA | APPROVED | 2024-01-29 |
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 |
|---|---|---|---|---|
| Cambridge Investment Research, Inc. | Fairfield | IA | 05/2013 | 01/2024 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 05/2013 | 01/2024 |
| Lpl Financial, Llc | Gresham | OR | 01/2024 | Present |
1- 12/2023 / Summit Financial and Investment Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 160 Hrs mnth / 8 Hrs during trading 2- 12/2023 / Retirement Solutions Inc / Business Entity For Tax/Investment Purposes Only / Non Investment Related / 4 hrs mnth 3- 12/2023 / Summit Financial Advisors Inc / Business Entity For Tax/Investment Purposes Only / Non Investment Related / 160 Hrs mnth / 8 Hrs during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-06-12 |
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