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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 | 2022-01-05 |
| NY | RA | APPROVED | 2021-12-13 |
Branch Locations
324 S Service Rd Ste 110, Melville, NY 11747 • 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 |
|---|---|---|---|---|
| Mml Investors Services, Llc | Melville | NY | 03/1996 | 12/2021 |
| Massmutual Life Insurance Co | Melville | NY | 03/1996 | 12/2021 |
| Lpl Financial, Llc | Melville | NY | 12/2021 | Present |
1. 01/01/2019 - THE STERLING WEALTH MANAGEMENT GROUP, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ MELVILLE, NY 2. 12/13/2021 - ROBERT S. MADDEN/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 5%/ MELVILLE, NY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-11 |
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