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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2017-01-04
  • AL RA
    APPROVED
    Since 2017-01-04

Branch Locations

2378 West Main Street, Dothan, AL 36301 • United States

109 River Square Plaza, Hueytown, AL 35023 • United States

15660 Us 280, Chelsea, AL 35043 • United States

309 West Maple Avenue, Geneva, AL 36340 • United States

2150 Gadsden Highway, Birmingham, AL 35173 • United States

3439 Colonnade Pkwy Ste 100, Birmingham, AL 35243 • United States

809 Downtowner Blvd, Mobile, AL 36609 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Avadian Credit Union Birmingham AL 09/2009 Present
Lpl Financial Llc Hoover AL 09/2016 Present
  • 09/2009 → Present
    Avadian Credit Union
    Birmingham, AL
  • 09/2016 → Present
    Hoover, AL
Other Businesses

(1) 09/06/2016: Avadian Credit Union - Notary - Not Investment Related - 4720 Chace Circle Hoover, AL 35244 - Start 02/21/2012 - 5% Time Spent (2) 09/06/2016: Avadian Credit Union - Financial Institution Duty - Investment Related - 4720 Chase Circle, Hoover, AL - Start 09/28/2009 - 160 Hr/Mo; 20 Hour(s) During Securities Trading; 75% Time Spent - Financial Service Officer (3) 09/06/2016: Avadian Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (4) 03/11/2024 - Magellan Health - Inv Related - Fort Novosel, AL - Outside/W-2 Employment - Assignment Ready Counselor - Started: 3/18/2024 - 10 Hrs/Mo; 0 Hr During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-28
  • S66 Uniform Combined State Law Examination
    2016-12-28
Other Names
  • Raeann M Day
  • Kylie Raeann Mccollough-Day
  • Kylie R Mccollough-Day
  • Kylie Raeann Mccollough Day

View on SEC IAPD

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