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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 | 2025-03-24 |
| WA | RA | APPROVED | 2025-03-24 |
Branch Locations
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 |
|---|---|---|---|---|
| Nollette Investments | Spokane | WA | 01/2006 | Present |
| Lincoln Investment Planning | Renton | WA | 01/2009 | 03/2025 |
| Lpl Financial | Spokane | WA | 03/2025 | Present |
1- 02/2025 / Nollette Investment / DBA for LPL Business (entity for LPL business) / INV RLTD / AT LOC / 160 HRS MNTH / 160 HRS DURING TRADING / START 01/01/2009 2- 02/2025 / Stoneridge Condo owners' association / Non-Profit Board Member / INV RLTD / 2 HRS MNTH / START 06/01/2023
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-02 |
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