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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-03-29 |
Branch Locations
3 disclosure categories 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Media | PA | 07/2012 | 02/2021 |
| Independent Financial Partners | Berwyn | PA | 07/2012 | 03/2019 |
| Great Valley Advisor Group, Inc. | Media | PA | 03/2019 | 02/2021 |
| Avantax Investment Services, Inc | Media | PA | 02/2021 | 03/2024 |
| Avantax Insurance Agency, Llc | Media | PA | 02/2021 | 03/2024 |
| Avantax Advisory Services | Media | PA | 02/2021 | 03/2024 |
| Harding Capital Management, Llc | Media | PA | 04/2008 | 03/2024 |
| Lpl Financial | Media | PA | 03/2024 | Present |
1- 03/28/2024 / Harding Capital Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s). 2- 03/28/2024 / Avantax Wealth Management / Non-Variable Insurance / Investment Related / 4 hrs mth / 1 hr during trading / Start date: 02/082021 3- 03/28/2024 / Sean Harding / Non-Variable Insurance / Investment Related / 2 hrs mth / 0 hrs during trading / Start date: 05/01/2008 4- 03/28/2024 / AirBnBs/Mountain House / Real Estate Rental / Investment Related / 2 hrs mth / 0 hrs during trading / Start date: 01/17/2023 5- 03/28/2024 / GLK Sports Training LLC / Business Owner / Not Investment Related / 140 hrs mth / 0 hrs during trading / Start date: 10/21/2023
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-02-09 |
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