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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 |
|---|---|---|---|
| MD | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2023-10-04 |
Branch Locations
6100 Executive Blvd Ste 410, Rockville, MD 20852 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services | Bethesda | MD | 01/2018 | 05/2021 |
| Wells Fargo Bank | Bethesda | MD | 01/2018 | 05/2021 |
| Bny Mellon Wealth Management | Washington | DC | 01/2016 | 01/2018 |
| Truist Wealth | Bethesda | MD | 05/2021 | 09/2023 |
| Lpl Financial Llc | Rockville | MD | 10/2023 | Present |
1)10/02/2023- Vintage Financial Partners - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start date 10/02/2023 - 160 Hrs per month - 100% Time Spent 2) 08/14/2025 - SeeBridge Wealth Solutions - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:08/01/2025 - 160 Hrs/Mth - 160 Hrs During Trading. 3) 08/14/2025 - Chronos Wealth Planning - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:08/15/2025 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-10-30 |
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