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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2021-01-21 |
| TX | RA | APPROVED_RES | 2021-01-21 |
Branch Locations
1120 Taylorsville Road, Washington Crossing, PA 18977 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Newtown | PA | 01/2009 | 01/2021 |
| Lpl Financial Llc | Washington Crossing | PA | 01/2021 | Present |
1)12/21/2020 - Washington Crossing Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2021 - 160 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-01 |
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