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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2023-05-18 |
Branch Locations
1401 N Maize Rd, Wichita, KS 67212 • United States
1800 Claflin Rd Ste 100, Manhattan, KS 66502 • United States
3934 N Woodlawn Blvd, Wichita, KS 67220 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Tampa | FL | 10/2013 | 10/2016 |
| Cuso Financial Services, Lp | San Diego | CA | 11/2016 | 03/2017 |
| Unemployed | Wichita | KS | 03/2017 | 07/2017 |
| Umb | Wichita | KS | 07/2017 | 07/2020 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 10/2020 | 05/2023 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 10/2020 | 05/2023 |
| Lpl Financial Llc | Wichita | KS | 05/2023 | Present |
| Credit Union Of America | Wichita | KS | 05/2023 | Present |
1) 5/2023 - CUA Retirement and Investment / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-23 |
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