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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 |
|---|---|---|---|
| MA | RA | APPROVED | 2021-05-13 |
Branch Locations
1 Mercantile St Ste 530, Worcester, MA 01608 • United States
1 Mercantile St Ste 530, Worcester, MA 01608 • United States
150A Andover St, Suite 8, Danvers, MA 01923 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Financial | Braintree | MA | 07/2016 | 06/2017 |
| Voya Financial Advisors, Inc. | Braintree | MA | 08/2019 | 02/2021 |
| Voya Financial Advisors, Inc. | Braintree | MA | 04/2018 | 08/2019 |
| Voya Financial Advisors, Inc. | Braintree | MA | 06/2017 | 04/2018 |
| Voya Financial Advisors, Inc. | Worcester | MA | 02/2021 | 05/2021 |
| Lpl Financial, Llc | Worcester | MA | 05/2021 | Present |
2/2021 - DBA for LPL Business (entity for LPL business) - NORTH POINTE WEALTH MANAGEMENT - Investment Related - WORCESTER, MA 01608
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 2016-12-21 |
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