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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-28 |
Branch Locations
San Antonio, TX • United States
17806 I-10 W Promenade 1 Ste 120, San Antonio, TX 78257 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 06/2020 | 08/2023 |
| Usaa Trust Services Usaa Federal Savings Bank | San Antonio | TX | 06/2016 | 06/2020 |
| Bank Of America, N.A. | San Antonio | TX | 09/2020 | 08/2023 |
| Lpl Financial Llc | San Antonio | TX | 08/2023 | Present |
1) 08/21/2023 - CARLOS LOPEZ AND REGINA LOPEZ - Real Estate Rental - Co-owner - TEXAS 78873 - Investment related - 1/4 Hours per month - Start date: 4/1/2017. 2) 08/21/2023 - Genesis Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-18 |
| S65 | Uniform Investment Adviser Law Examination | 2008-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2006-09-01 |
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