LPL FINANCIAL LLC
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LPL FINANCIAL LLC
(CRD# 6413)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Boston, MA.
The SEC approved the firm to operate as an RIA in
Aug 1975.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$159.1 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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LPL FINANCIAL LLC
also reported in
Mar 2019
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22790
employees,
with
15717
performing advisory functions.
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A total of 9520 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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LPL FINANCIAL LLC has one or more disclosure events currently on file with the SEC.
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LPL FINANCIAL LLC has Notice Filings with the following State Securities Authorities:
AK-Sep 1991, AL-Jul 1991, AR-May 1991, AZ-Feb 1996, CA- CO-Jan 1999, CT-Jul 1997, DC-Dec 1993, DE-Aug 2003, FL-<
, GA-Apr 1991, HI-Sep 1991, IA-Jan 1999, ID-Jul 1991, IL-<
, IN-Feb 2001, KS-Jul 1997, KY-Apr 1991, LA-Oct 2001, MA-<
, MD-Apr 1991, ME-May 1991, MI-Jan 2001, MN-Apr 1991, MO-<
, MS-Oct 1997, MT-Oct 1997, NC-Jan 2001, ND-May 1991, NE-<
, NH-Feb 1991, NJ-Jun 1994, NM-Apr 1991, NV-Mar 1991, NY-<
, OH-Oct 1999, OK-Jan 1998, OR-Apr 2003, PA-Nov 1980, PR-<
, RI-Jan 1993, SC-Jul 1991, SD-Apr 1991, TN-Apr 1998, TX-<
, UT-Feb 1991, VA-Apr 1991, VI-Apr 2008, VT-Nov 1994, WA-<
, WI-Jan 1992, WV-Mar 1991, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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