Best Investors
Account
Sign in
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 | 2025-09-05 |
Branch Locations
1300 Clear Springs Trce Ste 1, Louisville, KY 40223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Louisville | KY | 01/2024 | Present |
| Wesley House Community Services | Louisville | KY | 06/2021 | 12/2023 |
| Eastern Virginia Medical School | Norfolk | VA | 06/2018 | 05/2021 |
| Unemployed | Norfolk | VA | 10/2017 | 06/2018 |
| Robert Half | Norfolk | VA | 09/2016 | 10/2017 |
| Unemployed | Louisville | KY | 05/2016 | 09/2016 |
1) 01/2024 - ALLEN FINANCIAL GROUP - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 160hrs/month - 100% time spent 2) 01/2024 - LIL SHANKLIN'S DONUTS - Business Owner - Non-inv. Related - Louisville, KY - Owner - Start Date 5/3/2021 - 10hrs/month - 10% time spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2025-08-19 |
Reach out to this advisor