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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-09-29 |
| NE | RA | APPROVED | 2018-12-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Omaha | NE | 05/2016 | 11/2018 |
| Royal Alliance Associates, Inc. | Omaha | NE | 11/2018 | 12/2018 |
| Lpl Financial, Llc | Omaha | NE | 12/2018 | Present |
1. 08/25/2013 - ONYEUKU WEALTH STRATEGIES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 95%/ OMAHA, NE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-27 |
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