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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2024-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Boulder | CO | 09/2016 | 07/2022 |
| Wells Fargo Clearing Services, Llc | Boulder | CO | 05/2018 | 02/2020 |
| Kforce Professional Staffing | St. Louis | MO | 08/2015 | 09/2016 |
| Wells Fargo Clearing Services, Llc | Golden | CO | 11/2021 | 07/2022 |
| Wells Fargo Bank, Na | Golden | CO | 10/2021 | 07/2022 |
| Northwestern Mutual | La Jolla | CA | 06/2021 | 07/2021 |
| Wells Fargo Bank | San Diego | CA | 02/2020 | 06/2021 |
| Unemployed | San Diego | CA | 07/2021 | 10/2021 |
| E.A. Buck Financial Services | Denver | CO | 07/2022 | 08/2022 |
| Madison Avenue Securities | San Diego | CA | 07/2022 | 04/2024 |
| Buck Wealth Strategies | Denver | CO | 08/2022 | 04/2024 |
| Bmo Harris Bank | Boulder | CO | 04/2024 | Present |
| Lpl Financial | Boulder | CO | 04/2024 | Present |
1-04/2024 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related 2-04/2024 / BMO / Financial Institution Duty / Investment Related / 160 hr mnth / 40 hrs during trading / start date 04/22/2023 3-04/2024 / Real Estate Rental / Real Estate Rental / Investment Related / 8 hrs mnth / start date 03/01/2022 4-04/2024 / Parousia Captial Holding, LLC / Real Estate Rental / 8 hrs mnth / start date 05/01/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-02 |
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