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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-04-17 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brian Jones | Southbury | CT | 02/2017 | 11/2019 |
| Northwestern Mutual Investment Services Llc | Southbury | CT | 02/2017 | 11/2019 |
| Ameriprise | Oxford | CT | 04/2016 | 01/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2017 | 11/2019 |
| Nicholas Stamboulis | West Hartford | CT | 01/2020 | 10/2020 |
| Northwestern Mutual Investment Services Llc | West Hartford | CT | 01/2020 | 10/2020 |
| Unemployed | Watertown | CT | 12/2019 | 01/2020 |
| Apella Capital, Llc | Glastonbury | CT | 10/2020 | 11/2022 |
| Lpl Financial Llc | Hartford | CT | 02/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-10 |
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