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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-09 |
| FL | RA | APPROVED | 2019-09-18 |
Branch Locations
773 Cypress Village Blvd, Sun City Center, FL 33573 • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Tampa | FL | 09/2010 | 09/2019 |
| Lpl Financial Llc | Sun City Center | FL | 09/2019 | Present |
1) 09/16/2019- Good Life Financial Advisors of Tampa Bay- DBA for LPL Business (entity for LPL business)- Inv. Related- Sun City Center, FL - 120hrs/mthh- 10% 2) 02/12/2020 - John S Fletcher LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/13/2019 - 160 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-16 |
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