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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| IN | RA | APPROVED | 2025-04-15 |
Branch Locations
89 North Jefferson Street, Martinsville, IN 46151 • United States
2389 N Morton St, Franklin, IN 46131 • United States
7503 Beachwood Center Road, Avon, IN 46123 • United States
201 Conrad Harcourt Way, Rushville, IN 46173 • United States
2110 Burton Lane, Martinsville, IN 46151 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Bank | Greenwood | IN | 09/2005 | 12/2016 |
| Bmo Bank Na | Greenwood | IN | 12/2016 | Present |
| Lpl Financial Llc | Greenwood | IN | 03/2021 | Present |
1) 06/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - Greenwood, IN 46142 2) 12/2016 - Financial Institution Duty - BMO Bank NA - 160Hrs/Mo 40hrs/Mo During Trading - Investment Related - Greenwood, IN 46142
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-30 |
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