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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 | 2022-05-12 |
| AL | RA | APPROVED | 2007-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Linsco/Private Ledger Corp | Madison | AL | 11/2007 | Present |
1. 03/05/09- SALE OF FIXED INSURANCE/ 10% OF TIME/ MADISON, AL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-12 |
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