About LPL Financial
LPL Financial is a national independent broker/dealer headquartered in San Diego, Boston, and Charlotte that supports its advisors with independent investment research, financial planning and insurance expertise.
See Disclosures
General Information
Firm Start Year
1922
CRD#
2772152
Firm CRD#
6413
Insurance License#
LA-1083766
Name of Broker/Dealer
LPL Financial, LLC
Name of Custodial Firm
LPL Financial, LLC
States Licensed in
NY, FL, GA, CA, NC, SC
Years of Experience in Financial Services
15
Number of Years with Current Firm
15
Work with the following types of clients
Businesses, Individual Investors
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
Have a clean record
Criminal Disclosures in Last 5 years
Have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®, CLTC®, RICP®
Securities Licenses
Series 66, Series 7
Insurance and Annuity Licenses
Long Term Care, Variable Life, Variable Annuity, Disability, Annuity, Health, Life
Financial Organization Memberships
Financial Planning Association (FPA)
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$50,000
Compensation Methods
Based on Assets, Hourly, Flat Fee, Commissions
Education
BBA - Finance
James Madison University
January 1981 -August 1984
Disclosures
FinancialPlanners.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialPlanners.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialPlanners.net cash compensation for these referrals, which creates the incentive for FinancialPlanners.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures