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John Martin Space

LPl Financial LLC

Sparta, NJ

CRD 1342242

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-17
NJ RA APPROVED 2002-05-30
  • TX RA
    APPROVED_RES
    Since 2023-08-17
  • NJ RA
    APPROVED
    Since 2002-05-30

Branch Locations

Sparta, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Linsco/Private Ledger Corp. Watchung NJ 11/1995 Present
  • 11/1995 → Present
    Linsco/Private Ledger Corp.
    Watchung, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-28
S63 Uniform Securities Agent State Law Examination 1985-02-21
  • S65 Uniform Investment Adviser Law Examination
    2002-05-28
  • S63 Uniform Securities Agent State Law Examination
    1985-02-21

View on SEC IAPD

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