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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2021-05-14 |
| TX | RA | APPROVED | 2021-05-13 |
Branch Locations
102 Parkside Commons Ste 102, Greensboro, GA 30642 • United States
3560 Lenox Rd Ne Suite 2727, Atlanta, GA 30326 • United States
1020 Parkside Commons Ste 102, Greensboro, GA 30642 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Atlanta | GA | 05/2012 | 05/2021 |
| Lpl Financial, Llc | Atlanta | GA | 05/2021 | Present |
1) 2021 - DBA for LPL Business (entity for LPL business) - PLATINUM WEALTH MANAGEMENT OF BUCKHEAD - Investment Related - Atlanta, GA 30326 2) 2021 - DBA for LPL Business (entity for LPL business) - GLADSTONE WEALTH PARTNERS - Investment Related - Atlanta, GA 30326
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-15 |
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