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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-03-06 |
| PA | RA | APPROVED | 2025-03-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ic Advisory Services Inc | Pennington | NJ | 05/2016 | 03/2025 |
| The Investment Center, Inc. | Pennington | NJ | 05/2016 | 03/2025 |
| Lpl Financial Llc | Pennington | NJ | 03/2025 | Present |
1. 03/06/2025- Snap TPA- Third Party Administrator (TPA)- INV Related- At Reported Business Location(s)- Start date 12/01/2020- 2 Hours Per Month 2. 03/06/2025- Fixed Ins. Trails only- Non-Variable Insurance Commission Trails- INV Related- At Reported Business Location(s)- Start date 01/01/1986 3. 03/06/2025- MRP Plans Investing- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2015- 160 Hours Per Month- 160 Hours During Trading 4. 03/06/2025- Real Estate Rental- INV Related- At Stockton, NJ - Start date 01/01/2014- 5 Hours Per Month 5. 03/06/2025-Bucks Quarterly Meeting of Friends- Non-Profit Board Member- Not INV Related- At Newtown, PA- Start date 07/01/2022- 1 Hour Per Month 6. 03/06/2025- Yardley Monthly Meeting of Friends- Non-Profit Board Member- Not INV Related- At Yardley, PA- Start date 01/01/2024- 10 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1985-09-03 |
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