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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 | 2022-05-11 |
| SC | RA | APPROVED | 2008-03-19 |
Branch Locations
115 Atrium Way Suite 103, Columbia, SC 29223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Columbia | SC | 03/2008 | Present |
1. 03/05/2008 - DYADIC INSURANCE GROUP, LLC - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - TIME SPENT 20% - COMPANY WILL OFFER PROPERTY AND CASUALTY INSURANCE. 2. 03/05/2008 - DYADIC FINANCIAL MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 11/08/2022 - shirtsCANfly - Not Investment Related - At Reported Business Location(s) - Other - Retail - member of an aviation Facebook group called Carolina Aviators Network - Start Date - 10/17/2022 - 10 Hours Per Month/0 Hours During Securities Trading 4. 12/03/2024 - AAEA Properties, LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 01/01/20210 - 1 hour per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-12 |
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