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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2026-03-10 |
Branch Locations
2950 Breckenridge Ln., Suite 6, Louisville, KY 40220 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Chipotle | Louisville | KY | 04/2021 | 12/2021 |
| U.S. Soccer | Louisville | KY | 08/2017 | 07/2024 |
| Ups | Louisville | KY | 12/2022 | 01/2023 |
| Corvus Capital Llc | Louisville | KY | 05/2024 | 08/2024 |
| Saint Margaret Mary Grade School | Louisville | KY | 08/2009 | 05/2018 |
| Saint Xavier High School | Louisville | KY | 08/2018 | 05/2022 |
| University Of Dayton | Dayton | OH | 08/2022 | Present |
| Lpl Financial | Louisville | KY | 12/2024 | Present |
1- 10/2025 / Corvus Capital, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-07 |
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