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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_RES | 2024-11-03 |
| CO | RA | APPROVED | 2024-10-22 |
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Golden | CO | 07/2008 | Present |
| Western Wealth Management, Llc | Golden | CO | 06/2016 | Present |
1. 12/5/2014 - CENTRAL PARK PRIVATE WEALTH MANANGEMENT LIMITED - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 12/02/2014 - 80 Hours Per Month During Securities Trading. 2. 7/28/2016 - Western Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/28/2016 - 80 Hours Per Month/40 Hours During Securities Trading - Financial plans.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-02-22 |
| S65 | Uniform Investment Adviser Law Examination | 1999-02-16 |
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