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Investment Adviser Firm Summary

LPL FINANCIAL LLC (CRD# 6413 / SEC# 8-17668, 801-10970)
Alternate Names: LINSCO/PRIVATE LEDGER CORP. , LPL , LPL FINANCIAL , LPL FINANCIAL CORPORATION , LPL FINANCIAL LLC , PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/25/1975

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/08/1991
Alaska 09/17/1991
Arizona 02/07/1996
Arkansas 05/07/1991
California 07/08/1997
Colorado 01/01/1999
Connecticut 07/10/1997
Delaware 08/04/2003
District of Columbia 12/19/1993
Florida 08/28/1991
Georgia 04/05/1991
Hawaii 09/26/1991
Idaho 07/08/1991
Illinois 04/12/1991
Indiana 02/06/2001
Iowa 01/01/1999
Kansas 07/28/1997
Kentucky 04/03/1991
Louisiana 10/10/2001
Maine 05/18/1991
Maryland 04/12/1991
Massachusetts 04/14/1994
Michigan 01/19/2001
Minnesota 04/19/1991
Mississippi 10/04/1997
Missouri 03/12/1991
Montana 10/30/1997
Nebraska 07/31/1997
Nevada 03/18/1991
New Hampshire 02/15/1991
New Jersey 06/09/1994
New Mexico 04/22/1991
New York 04/01/1991
North Carolina 01/19/2001
North Dakota 05/01/1991
Ohio 10/18/1999
Oklahoma 01/01/1998
Oregon 04/07/2003
Pennsylvania 11/06/1980
Puerto Rico 04/04/2001
Rhode Island 01/01/1993
South Carolina 07/03/1991
South Dakota 04/24/1991
Tennessee 04/15/1998
Texas 04/30/1983
Utah 02/14/1991
Vermont 11/30/1994
Virgin Islands 04/11/2008
Virginia 04/08/1991
Washington 07/05/1991
West Virginia 03/15/1991
Wisconsin 01/08/1992
Wyoming 07/17/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser