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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-30 |
| FL | RA | APPROVED | 2024-07-25 |
| NJ | RA | APPROVED | 2024-07-25 |
Branch Locations
Port Saint Lucie, FL • United States
2424 Route 34, Manasquan, NJ 08736 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Manasquan | NJ | 04/2016 | 07/2024 |
| Lpl Financial | Manasquan | NJ | 07/2024 | Present |
1 - 05/21/2024 - Harbor Lights Financial Group - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - At reported business location(s). 2 - 05/21/2024 - Roberts Financial Group - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 160 Hours/Month - FL 34984 - OBA Start Date: 06/01/2014. 3 - 05/21/2024 - Harbor Lights Property Management LLC - Real Estate Rental - Inv Related - NJ 08736 - OBA Start Date: 03/02/2003.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-14 |
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