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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2019-02-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wlv Properties | Crestwood | KY | 01/2012 | 09/2016 |
| Allen Capital, Llc | Jeffersonville | IN | 01/2016 | 02/2017 |
| Lpl Financial, Llc | Louisville | KY | 09/2015 | Present |
1. 3/30/2020 - MyelomaCrowd - Not Investment Related - Home Based - Outside/W-2 Employment - Started 03/05/2020 - 40 Hours Per Month/1 Hour During Securities Trading - Help Myeloma Patients and their families find financial Resources for medical treatment via non-profit and private organizations. 2. 09/22/2022 - PEN Patient Empowerment Network - Investment Related - Home Based - Other - Writer - Writer - Start Date - 10/03/2022 - 4 Hours Per Month/0 Hours During Securities Trading 3. 11/16/2023 - Genentech - Non-Profit Board Member - Advisory Counsel - Not Investment Related - Home Based - Start Date 07/28/2023 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-21 |
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