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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 | 2026-08-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Umb | Denver | CO | 10/2015 | 11/2022 |
| Umb Family Wealth | Denver | CO | 11/2022 | 08/2023 |
| Umb Financial Services Inc | Denver | CO | 08/2023 | 01/2025 |
| Umb Bank | Denver | CO | 08/2023 | 01/2025 |
| Unemployed | Denver | CO | 01/2025 | 08/2026 |
| First Interstate Bank | Denver | CO | 08/2026 | Present |
| Lpl Financial | Denver | CO | 08/2026 | Present |
1. “Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Interstate Investment Services - Inv Rel - At Reported Business Location (s) - Start Date : 08/2026
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-10-14 |
| S65 | Uniform Investment Adviser Law Examination | 1994-10-14 |
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