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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
ND RA APPROVED 2025-05-05
MN RA APPROVED 2024-03-15
  • ND RA
    APPROVED
    Since 2025-05-05
  • MN RA
    APPROVED
    Since 2024-03-15

Branch Locations

5161 Charles Way, Fargo, ND 58104 • United States

108 Judd Street, Po Box 339, Perham, MN 56573 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

80 Jefferson Street S, Wadena, MN 56482 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Perham MN 02/2024 Present
Magnifi Financial Cu Perham MN 02/2024 Present
Astera Health Wadena MN 07/2017 02/2024
Wadena County Wadena MN 03/2015 07/2017
  • 02/2024 → Present
    Perham, MN
  • 02/2024 → Present
    Magnifi Financial Cu
    Perham, MN
  • 07/2017 → 02/2024
    Astera Health
    Wadena, MN
  • 03/2015 → 07/2017
    Wadena County
    Wadena, MN
Other Businesses

1) 02/20/2024 - Canoe Paddle Kettle Corn LLC - Business Owner - Owner of family kettle corn business that offers bagged popcorn - MN 56482 - Non investment related - 10 Hours per month - Start date: 06/01/2019. 2) 03/21/2024 - Magnifi Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 3) 04/11/2024 - Wadena-Deer Creek School District - Outside/W-2 Employment - Track Coach - Not Investment Related - 600 Colfax Ave SW, Wadena, MN 56482 - Start Date 03/11/2024 - 40 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-15
  • S66 Uniform Combined State Law Examination
    2024-03-15

View on SEC IAPD

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