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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-14
PA RA APPROVED 2015-09-23
  • TX RA
    APPROVED_RES
    Since 2021-06-14
  • PA RA
    APPROVED
    Since 2015-09-23

Branch Locations

984 Second Street Pike, Richboro, PA 18954 • United States

500 Arcola Road, Collegeville, PA 19426 • United States

323 East Gay Street, West Chester, PA 19380 • United States

20-10 Liberty Blvd., Malvern, PA 19355 • United States

785 Starr Street, Phoenixville, PA 19460 • United States

335 Commerce Drive, Ft Washington, PA 19034 • United States

23 Nutt Road, Phoenixville, PA 19460 • United States

301 Horsham Road, Horsham, PA 19044 • United States

595 N Morehall Rd, Malvern, PA 19355 • United States

1931 S. Broad Street, Philadelphia, PA 19148 • United States

1701 Market Street, Philadelphia, PA 19064 • United States

1920 Butler Pike, Conshohocken, PA 19428 • United States

7350 Large St, Philadelphia, PA 19152 • United States

1900 N. 5Th Street, Philadelphia, PA 19122 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Brooks Brothers Pottstown PA 11/2011 06/2018
Lpl Financial Llc Ft Washington PA 11/2012 Present
  • 11/2011 → 06/2018
    Brooks Brothers
    Pottstown, PA
  • 11/2012 → Present
    Ft Washington, PA
Other Businesses

1. 8/25/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name TruMark Financial Wealth Advisors - Investment Related - At Reported Business Location(s) - Started 08/23/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 8/26/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name TruMark Financial Wealth Advisors - Investment Related - At Reported Business Location(s) - Started 08/25/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 04/01/2026 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Trumark Wealth Advisors - Investment Related - At Reported Business Location(s) - Start Date 06/05/2025 - 160 hours per month/ 8 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-21
S63 Uniform Securities Agent State Law Examination 2000-02-07
  • S66 Uniform Combined State Law Examination
    2015-09-21
  • S63 Uniform Securities Agent State Law Examination
    2000-02-07
Other Names
  • Jack Fair

View on SEC IAPD

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