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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2025-08-27 |
| HI | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2023-12-06 |
Branch Locations
222 Vineyard Street, #703, Honolulu, HI 96813 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morthwestern Mutual Life Insurance Co. | Milwaukee | WI | 10/1987 | 11/2023 |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 10/1987 | 11/2023 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 11/2023 |
| Lpl Financial Llc | Honolulu | HI | 12/2023 | Present |
1)11/02/2023 - Pacific Guardian Life & Genworth - Non-Variable Insurance Trails Only - Inv Rel - At Reported Business Location(s) - Start: 01/2000
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-12-19 |
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