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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2024-03-04 |
| TX | RA | APPROVED | 2024-03-04 |
Branch Locations
220 East Roosevelt, Battle Creek, MI 49017 • United States
1609 E Cork St, Kalamazoo, MI 49001 • United States
3141 Capital Avenue Sw, Battle Creek, MI 49015 • United States
1313 S Centerville Rd, Sturgis, MI 49091 • United States
1 Denso Rd Ste 1, Battle Creek, MI 49037 • United States
15425 Broadway Rd, Three Rivers, MI 49093 • United States
6622 West Maiin St, Kalamazoo, MI 49009 • United States
4150 West Dickman Rd, Battle Creek, MI 49037 • United States
114 West Chicago Rd, White Pigeon, MI 49099 • United States
118 N Kalamazoo, Paw Paw, MI 49079 • United States
101 W Monroe St, Bangor, MI 49013 • United States
123 East Street, Colon, MI 49040 • United States
676 E Main St, Centreville, MI 49032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuso Financial Services, Lp | San Diego | CA | 04/2012 | 06/2018 |
| Consumers Credit Union | Portage | MI | 04/2012 | 06/2018 |
| Cetera Advisor Networks Llc | El Segundo | CA | 06/2018 | 03/2024 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | 03/2024 |
| Omni Credit Union Dba Omni Investments Llc | Battle Creek | MI | 06/2018 | Present |
| Lpl Financial Llc | Battle Creek | MI | 03/2024 | Present |
1)12/13/2023 - Omni investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2024 - 24 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-30 |
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