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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2026-07-31 |
Branch Locations
307 Frederick Road, Catonsville, MD 21228 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mid-Atlantic Boat Sales, Llc | Annapolis | MD | 04/2014 | 05/2019 |
| Fawcett Marine Services, Llc | Annapolis | MD | 05/2019 | 12/2020 |
| Unemployed | Elkridge | MD | 01/2021 | 02/2022 |
| Lpl Financial | Catonsville | MD | 02/2022 | Present |
1- 02/2022 / DBA for LPL Business (entity for LPL business) / Retirement and Investment Group, LLC / Investment Related / At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-06-28 |
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