Best Investors
Account
Sign in
Best Investors
Account
Sign in
CRD 3235477
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 | 2026-05-05 |
| KY | RA | APPROVED | 2025-08-18 |
Branch Locations
101 Sower Blvd, Frankfort, KY 40601 • United States
417 High Street, Frankfort, KY 40601 • United States
73 Jeanie Drive, Shelbyville, KY 40065 • United States
3704 Frankfort Ave, Louisville, KY 40207 • United States
600 Boone Station Road, Shelbyville, KY 40065 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Louisville | KY | 01/2016 | 10/2017 |
| Hilliard Lyons | Louisville | KY | 10/2017 | 04/2018 |
| Jjb Hilliard Wl Lyons Llc | Louisville | KY | 04/2018 | 11/2023 |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | 11/2023 |
| Lpl Financial Llc | Louisville | KY | 06/2024 | 05/2025 |
| Unemployed | Louisville | KY | 11/2023 | 05/2024 |
| Unemployed | Louisville | KY | 05/2025 | 08/2025 |
| Lpl Financial Llc | Louisville | KY | 08/2025 | Present |
| Commonwealth Credit Union | Louisville | KY | 08/2025 | Present |
1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name CCU Wealth Advisors - Investment Related - At Reported Business Location(s) - Start Date: 07/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2002-01-17 |
Reach out to this advisor