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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-02-05 |
| KY | RA | APPROVED | 2025-01-15 |
| TX | RA | APPROVED | 2023-06-12 |
Branch Locations
527 Wellington Way #225, Lexington, KY 40503-1375 • United States
Vero Beach, FL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J. P. Morgan Securities Llc | Lexington | KY | 10/2014 | 06/2023 |
| Lpl Financial Llc | Lexington | KY | 06/2023 | Present |
1) 05/10/2023 - Keystone Financial Group - DBA for LPL Business (entity for LPL business) - Investment related - 160 Hours per month - At reported business location(s) 2) 07/14/2023 - John Schaefer and Associates - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 06/14/2023 - 2 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-16 |
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