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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-08-19 |
Branch Locations
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Tampa | FL | 09/2014 | 09/2017 |
| Independent Financial Partners | Tampa | FL | 09/2014 | 09/2017 |
| Raymond James & Associates, Inc. | St. Petersburg | FL | 09/2017 | 10/2020 |
| Raymond James Financial Services, Inc. | St.PEtersburg | FL | 02/2020 | 10/2020 |
| Cambridge Investment Research Inc. | Fairfield | IA | 02/2021 | 08/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 02/2021 | 08/2026 |
| Unemployed | Land O Lakes | FL | 10/2020 | 02/2021 |
| Acpwa, Llc | Camp Hill | PA | 01/2022 | 08/2026 |
| Thegrid, Llc | Fort Myers | FL | 10/2023 | 08/2026 |
| Lpl Financial Llc | Fort Myers | FL | 08/2026 | Present |
1. 08/2026 - Conte Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 8/18/2026 2. 08/2026 - Smokin Puffin, LLC - Other - Investment related - Fernandina Beach FL 32034 - 08 Hrs/Mth - 00 Hrs During Trading - OBA start date: 08/01/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-24 |
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