Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| WA | RA | APPROVED | 2020-06-02 |
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 |
|---|---|---|---|---|
| The Dunn Agency, Inc | Vancouver | WA | 07/1991 | Present |
| Securities America, Inc. | Vancouver | WA | 01/2009 | 05/2020 |
| Securities America Advisors, Inc. | Vancouver | WA | 01/2009 | 05/2020 |
| Lpl Financial Llc | Vancouver | WA | 06/2020 | Present |
1)6/1/2020- CASCADE Wealth MANAGEMENT- DBA for LPL Business (entity for LPL business)- Inv. Related- VANCOUVER, WA -100% 2)6/1/2020-The Dunn Agency, Inc. - Insurance Agency- selling term life insurance & possibly universal life- Inv. Related- Vancouver, WA- start date 1991- 2hrs/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-03 |
Reach out to this advisor