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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2022-01-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tenx Capital, Llc | Aitkin | MN | 06/2011 | Present |
| Cambridge Investment Research Inc. | Fairfield | IA | 09/2013 | 11/2017 |
| Cyber Insurance Company Of America | Seattle | WA | 02/2016 | 03/2018 |
| Mjm Financial, Llc | Aitkin | MN | 06/2009 | 03/2017 |
| Lpl Financial | Brainerd | MN | 09/2021 | Present |
1) 6/2011 - Business Entity For Tax/Investment Purposes Only - 10X Capital, LLC - Investment Related - Aitkin, MN 2) 2019 - Business Entity For Tax/Investment Purposes Only - Kvered - Investment Related - Ironton, MN 3. 05/19/2025 - Mid Mn Federal Credit Union - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date:08/23/2021 - 20 Hrs/Mth - 20 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-11 |
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