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BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
· To check the background of an investment adviser firm or representative, you can search for the firm or individual in BrokerCheck. If your search is successful, click on the link provided to view the available licensing
Search. Use our interactive map to find a financial advisor or professional who can best support your financial goals. LPL Financial has more than 21,000 advisors, across all 50 states.
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and ...
1055 LPL WAY FORT MILL, SC 29715. Business Telephone Number. 704-733-3300. This firm is a brokerage firm and an investment adviser firm. For more information about investment adviser firms, visit the SEC's Investment Adviser Public Disclosure website at: https://www.adviserinfo.sec.gov. Firm Profile.
