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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-07-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P Morgan Chase Bank, N.A. | Arlington Heights | IL | 10/2018 | 02/2021 |
| Crosskicks Fitness Llc | Roselle | IL | 02/2018 | 09/2018 |
| Unemployed | Arlington Heights | IL | 06/2017 | 02/2018 |
| J.P. Morgan Securities Llc | Arlington Heights | IL | 10/2018 | 02/2021 |
| Nuffield Health/Fitness And Wellbeing | Edinburgh | 08/2016 | 05/2017 | |
| Bmo Bank Na | Buffalo Grove | IL | 04/2023 | Present |
| Lpl Financial Llc | Buffalo Grove | IL | 04/2023 | Present |
| J.P Morgan Chase Bank, N.A. | Palatine | IL | 02/2021 | 03/2023 |
| J.P. Morgan Securities Llc | Palatine | IL | 02/2021 | 03/2023 |
1) 03/21/2023 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 03/21/2023 - BMO Bank NA - Financial Institution Duty - Premier Banker - Buffalo Grove Il. 60089 - Investment related - Start date: 04/03/2023. 3) 03/21/2023 - Notary - Buffalo Grove Il. 60089 - Investment related - Start date: 04/03/2023.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 2018-12-13 |
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