# LPL FINANCIAL LLC

> FINRA firm 6413 · ACTIVE · **⚠ HAS DISCLOSURE EVENTS** · FORT MILL, SC

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 6413
- **Firm name:** LPL FINANCIAL LLC
- **Other names:** 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
- **Investment Adviser scope:** ACTIVE
- **SEC IA file number:** 801-10970
- **SEC BD file number:** 8-17668
- **Branches:** 33203
- **Has disclosure events:** YES
- **Headquarters:** FORT MILL, SC, 29715, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/6413

## Citation

> FINRA BrokerCheck, firm 6413 (LPL FINANCIAL LLC). Retrieved via AI Analytics 2026-06-30 from https://api.ai-analytics.org/broker/6413.

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