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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 |
|---|---|---|---|
| CT | RA | APPROVED | 1994-10-11 |
Branch Locations
1449 Old Waterbury Rd Ste 302, Southbury, CT 06488 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Middlebury | CT | 09/1994 | Present |
1. 5/8/2007 - NO BUSINESS NAME - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - TIME SPENT 35% - OUTSIDE INSURANCE SALES. 2. 5/13/2015 - REO REAL ESTATE CONNECTION, LLC - NOT INVESTMENT RELATED - 984 SOUTHFORD ROAD, SUITE #7, MIDDLEBURY, CT 06762 - OTHER-SUBLET OF OFFICE SPACE - START 06/01/15 - 1 HOUR PER MONTH DURING SECURITIES TRADING - OFFICE SPACE RENTAL. 3. 3/30/2016: PathLight Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/12/2016 - 0 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-04 |
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