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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-17 |
| NY | RA | APPROVED | 2024-06-17 |
Branch Locations
Floral Park, NY • United States
610 Newport Center Dr Ste 1520, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | New York | NY | 01/2003 | 06/2019 |
| Oppenheimer & Co. Inc. | New York | NY | 11/2019 | 06/2024 |
| Unemployed | New York | NY | 07/2019 | 10/2019 |
| Lpl Financial Llc | Floral Park | NY | 06/2024 | Present |
1) 06/17/2024 - Tower 68 Financial Advisors, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) - Start Date 06/17/2024 - 160 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-02 |
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