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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2021-04-08 |
| TX | RA | APPROVED | 2021-04-08 |
Branch Locations
300 N Main St Ste 203, Greenville, SC 29601 • United States
300 N Main St Ste 301, Greenville, SC 29601 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Greenville | SC | 11/2015 | 11/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenville | SC | 11/2018 | 04/2021 |
| Bank Of America, N.A. | Greenville | SC | 12/2018 | 04/2021 |
| Lpl Financial, Llc | Greenville | SC | 04/2021 | Present |
1)01/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - NORTHEND PRIVATE WEALTH - INVESTMENT RELATED - GREENVILLE, SC 29601
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-03-21 |
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