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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_RES | 2024-10-15 |
| NY | RA | APPROVED | 2021-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M&T Securities | Great Neck | NY | 02/2010 | 08/2018 |
| National Securities Corp | Mineola | NY | 08/2018 | 04/2021 |
| Lpl Financial, Llc | Woodmere | NY | 04/2021 | Present |
| Sterling National Bank | Brooklyn | NY | 06/2021 | 03/2026 |
1. 4/2021 - DBA for LPL Business (entity for LPL business) - Wealth Quest Capital Inc - Investment Related - 100% - Woodmere, NY 11598 2. 6/16/2021 - Sterling Wealth Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 6/8/2021 - 100 Hours Per Month/100 Hours During Securities Trading. 3. 09/02/2021 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/02/2021. 4. 09/16/2022 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 08/08/2022 - 1 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-25 |
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