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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 | 2026-08-01 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
102 Strathmore Village Dr, S Setauket, NY 11720-0000 • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | So. Setauket | NY | 09/2009 | Present |
1. 07/18/2011: MAGNA CARTA, LP - FAMILY LIMITED PARTNERSHIP - 1% OF TIME SPENT - MANAGE INVESTMENTS 2. 07/19/2011: DYNASTY FINANCIAL STRATEGIES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-11-18 |
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