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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 |
|---|---|---|---|
| SD | RA | APPROVED | 2022-08-01 |
| TX | RA | APPROVED | 2022-07-21 |
Branch Locations
119 6Th Avenue, Aberdeen, SD 57401 • United States
302 S Main Street, Milbank, SD 57252 • United States
35 1St Avenue Ne, Watertown, SD 57201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Great Western Bank (Acquired By First Interstate Bank) | Watertown | SD | 10/1998 | 07/2022 |
| Cetera Investment Services Llc | St. Cloud | MN | 06/2011 | 06/2017 |
| Cetera Investment Advisers Llc | Watertown | SD | 06/2016 | 06/2017 |
| Raymond James Financial Services,Inc | Watertown | SD | 06/2017 | 07/2022 |
| Raymond James Financial Services Advisors Inc. | Watertown | SD | 06/2017 | 07/2022 |
| Great Western Investment And Insurance | Watertown | SD | 07/2017 | 07/2022 |
| First Interstate Bank | Watertown | SD | 07/2022 | Present |
| Lpl Financial Llc | Watertown | SD | 07/2022 | Present |
1) 7/2022- First Interstate Investment Services- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 2) 7/2022- Great Western Financial Services, Inc.- Non-Variable Insurance- inv. related- Agent selling fixed life insurance and fixed annuities - start date 10/15/1998- Watertown SD- 2hrs/mth 3) 7/2022- Dale Nelsen- notary- inv. related- Watertown, SD -start date 4/16/2021- 0hrs
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-14 |
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