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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2025-03-28 |
| MO | RA | APPROVED | 2025-03-28 |
| TX | RA | APPROVED | 2025-03-28 |
Branch Locations
7101 College Blvd. Ste 1250, Overland Park, KS 66210 • United States
1114 E Ohio St., Clinton, MO 64735 • United States
1114 E Ohio St., Clinton, MO 64735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Horizon Capital Advisors | Overland Park | KS | 07/2010 | Present |
| Voya Financial Advisors | Overland Park | KS | 09/2014 | 06/2020 |
| Securities America, Inc | Overland Park | KS | 06/2020 | 06/2024 |
| Securities America Advisors | Overland Park | KS | 06/2020 | 06/2024 |
| Osaic Wealth, Inc. | Overland Park | KS | 06/2024 | 03/2025 |
| Osaic Wealth, Inc. | Overland Park | KS | 06/2024 | 03/2025 |
| Lpl Financial Llc | Overland Park | KS | 03/2025 | Present |
1 - 12/2024 - Horizon Capital Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - 180 Hours/Month - 6.30 Hours During Trading - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-20 |
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