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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 |
|---|---|---|---|
| OR | RA | APPROVED | 2018-02-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Portland | OR | 02/2005 | 02/2018 |
| Fenton, Wangler Financial | Portland | OR | 02/2005 | 02/2018 |
| Lpl Financial Llc | Portland | OR | 02/2018 | Present |
1. 02/14/2018 - Seelig Financial Group, LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Owner - Start Date 2005 - 1 Hour Per Month. 2. 02/14/2018 - No Business Name - Investment Related - Portland, OR 97219 - Real Estate Rental - 5 Hours Per Month. 3. 02/14/2018 - Crump Insurance Services - Investment Related - Non-Variable Insurance - Licensed Agent - UL, Health, Disability, LTC. 4. 01/24/2024 - No Business Name - Non-Inv Related - Other - Fitness Instructor - Started: 12/1/2023 - 3 Hrs/Mo; 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-26 |
| S66 | Uniform Combined State Law Examination | 1998-09-10 |
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