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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 | 2026-04-22 |
| TX | RA | APPROVED | 2024-01-08 |
Branch Locations
2001 Timberloch Ste 500 5137, The Woodlands, TX 77380 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
2001 Timberloch Pl Suite 500, Office 5137, The Woodlands, TX 77380 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | The Woodlands | TX | 04/2011 | 06/2022 |
| Charles Schwab Bank | The Woodlands | TX | 04/2011 | 06/2022 |
| Lincoln Investment | Fort Washington | PA | 07/2022 | 01/2024 |
| Capital Analysts | Fort Washington | PA | 07/2022 | 01/2024 |
| Lpl Financial Llc | The Woodlands | TX | 01/2024 | Present |
1)12/07/2023 - Future Forward Financial,LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/2022 - 160 Hr/Mth 2)12/07/2023 - GUIDEPOINT - Speaking to Guidepoint Clients About Various Financial Services Topics - Non-Inv Rel - New York, NY - Start: 04/2023 - 4 Hr/Mth 3) 04/17/2025 - Third Bridge Group - Other - Outside 1099 employment - Financial Services Consultant - Start Date 03/21/2025 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-05-25 |
| S66 | Uniform Combined State Law Examination | 2000-11-04 |
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