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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 | 2016-02-22 |
Branch Locations
18230 N. Eldridge Pkwy, Tomball, TX 77377-8014 • United States
4295 San Felipe Suite 300, Houston, TX 77027 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-07-15 |
Branch Locations
18230 North Eldridge Parkway, Tomball, TX 77377 • United States
4295 San Felipe Suite 300, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Tomball | TX | 05/2004 | Present |
| Symphony Financial, Ltd. Co. | Houston | TX | 07/2014 | Present |
the name of the other business:Insurance Sales; whether the business is investment-related: No; the address of the other business: Same as adviser; the nature of the other business: Non-Variable Insurance; your position, title, or relationship with the other business: Insurance sales; the approximate number of hours/month you devote to the other business: varies; the number of hours you devote to the other business during securities trading hours: varies; briefly describe your duties relating to the other business: Non-Variable Insurance sales.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-08-14 |
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