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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 | 2025-02-05 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
2610 North Illinois Street, Swansea, IL 62226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Focused Investments L.L.C. | Collinsville | IL | 01/1999 | Present |
| Wayne Hummer Investments L.L.C. | Swansea | IL | 12/2006 | 01/2025 |
| Lpl Financial Llc | Swansea | IL | 01/2025 | Present |
1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 07/19/1999- 180 Hours Per Month- 104 Hours During Trading 2. 09/18/2024- FCB Banks- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/13/1997- 180 Hours Per Month- 104 Hours During Trading 3. 09/18/2024- FitZone 161- Business Owner- INV Related- At Germantown, Illinois- Start date 09/20/2008- 15 Hours Per Month- 2 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-04 |
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