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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2026-05-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Llc | Dubuque | IA | 04/2023 | 05/2026 |
| Sullivans Foods | Savanna | IL | 06/2021 | 04/2023 |
| Aim Lawncare | Arvada | CO | 08/2020 | 06/2021 |
| Sullivans Foods | Savanna | IL | 06/2019 | 06/2020 |
| Student - Clarke University | Dubuque | IA | 08/2015 | 05/2019 |
| Heacock And Jones Financial Services | Dubuque | IA | 08/2018 | 04/2019 |
| Enterprise Rent-A-Car | Dubuque | IA | 06/2017 | 08/2017 |
| Kappy's Karts | Englewood | FL | 10/2022 | 11/2022 |
| Lpl Financial Llc | Dubuque | IA | 05/2026 | Present |
1. 05/2026 - Bridgewater Advisors, Inc - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 40 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/14/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-12-06 |
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