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LPl Financial LLC CRD 6413
$819B regulatory AUM 209,600 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED | 2024-07-11 |
Branch Locations
7477 W Lake Mead Blvd Ste 170, Las Vegas, NV 89128 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Simons Tax Service | Las Vegas | NV | 05/1990 | 07/2024 |
| Sagepoint Financial, Inc. | Las Vegas | NV | 04/2018 | 07/2024 |
| The Ameriflex Group, Inc. | Las Vegas | NV | 06/2020 | 07/2024 |
| Silver State Schools Credit Union | Las Vegas | NV | 04/1994 | 04/2018 |
| Osaic Wealth, Inc. | Las Vegas | NV | 09/2023 | 07/2024 |
| Lpl Financial Llc | Las Vegas | NV | 07/2024 | Present |
1- 06/26/2024 / Gladstone Wealth Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 06/26/2024 / Coyer Financial Group / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 3- 06/26/2024 / Charlton Simons / Non-Variable Insurance / Investment Related / 5 hrs mth / 1 hr during trading / Start date: 01/01/1992
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-09 |
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