LPL FINANCIAL LLC ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 6413
- Firm name
- LPL FINANCIAL LLC
- Other names / DBAs
- LINSCO/PRIVATE LEDGER CORP.; WADDELL & REED INVESTMENTS; WADDELL & REED FINANCIAL ADVISORS; WADDELL & REED; PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED; LPL FINANCIAL LLC; LPL FINANCIAL CORPORATION; LPL FINANCIAL; LPL
- IA scope
- ACTIVE
- SEC IA file
- 801-10970
- SEC BD file
- 8-17668
- Branches
- 33203
- Disclosure events
- YES
- HQ
- FORT MILL, SC, 29715, United States
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