Form TA-W Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-W | OMB APPROVAL |
| OMB Number: 3235-0151 Estimated average burden hours per response: 0.5 |
TA-W : Filer Information
1(a). Filer CIK: | 0001007444 |
1(b). Filer CCC: | ********** |
1(c). Is this a LIVE or TEST submission? | ![]() ![]() |
1(d). Would you like a Return Copy? | ![]() |
Submission Contact Information
The registrant may provide a single e-mail address for contact purposes.1(e)(i). Contact Name: | |
1(e)(ii). Contact Phone Number: | |
1(e)(iii). Contact E-Mail Address: |
Notification Information
Notification will automatically be sent to the Login CIK, Submission Contact and Primary Registrants. The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.TA-W: Registration Information
Registration Information
2. Transfer Agent File No.: | |
3. Full name of registrant: | LPL Financial LLC /TA |
4. Name under which transfer agent activities are conducted, if different from above: |
5(a). Address | 4707 Executive Drive |
5(b). Address 2 | |
5(c). City | San Diego |
5(d). State or Country | CALIFORNIA |
5(e). Postal Code | 92121-3091 |
TA-W: Withdrawal Information
Withdrawal Information
LPL Financial LLC is not acting as a transfer agent. |
01/01/2009 | |
7(a). Does the registrant have any intention of performing in the near future a transfer agent function for any such security? | ![]() ![]() |
TA-W: Legal Action Information
Legal Action Information
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TA-W: Document Retention Information
Document Retention Information
10(a). Is there a successor transfer agent? | ![]() ![]() |
11(a). Name of Custodian: | Richard Wallace |
11(b). Address: | |
11(b)(i). Address 1 | 4707 Executive Drive |
11(b)(ii). Address 2 | |
11(b)(iii). City | San Diego |
11(b)(iv). State or Country | CALIFORNIA |
11(b)(v). Postal Code | 92121-3091 |
TA-W: Signature
Signature
13(a). Signature of Official responsible for Form: | RIchard Wallace |
13(b). Telephone Number: | 858-909-7094 |
13(c). Title of Signing Officer: | Senior Vice President |
13(d). Date Signed (Month/Day/Year): | 10/22/2020 |