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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2024-06-17 |
Branch Locations
8374 Six Forks Road, Raleigh, NC 27615 • United States
804 East Williams St, Apex, NC 27502 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Resources Group | Apex | NC | 07/2023 | 11/2025 |
| Fidelity Bank | Cary | NC | 06/2021 | 07/2023 |
| Unemployed | Apex | NC | 09/2020 | 06/2021 |
| Wells Fargo | Apex | NC | 08/2019 | 09/2020 |
| Brier Creek Country Club | Raleigh | NC | 05/2017 | 08/2019 |
| Country Club Of North Carolina | Pinehurst | NC | 03/2012 | 05/2017 |
| Lpl Financial | Apex | NC | 02/2024 | Present |
1) 01/25/2024 - No Business name - Inv related - Apex, NC - Public Notary - Started: 6/15/2022. 2) 01/25/2024 - Ironwood properties LLC - Inv Related - Apex, NC - Real Estate Rental - Started: 10/13/202 - 1 Hr/Mo; 0 Hr During Trading. 3) 02/01/2024 - Financial Resources Group Investment Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) .
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-06-17 |
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