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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 |
|---|---|---|---|
| NJ | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
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 |
|---|---|---|---|---|
| Provident | Warwick | NY | 10/2006 | 01/2022 |
| Lpl Financial Llc | Totowa | NY | 03/2008 | Present |
1. 8/15/2010: DBA ONLY - FINANCIAL RESOURCES GROUP - WARWICK, NY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-28 |
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