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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 | 2016-04-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Houston | TX | 04/2016 | Present |
1. 04/14/2016 - WALLSTREET TEXAS/ NON-VARIABLE INSURANCE/ 10%/ HOUSTON, TX 2. 04/14/2016 - WALLSTREET TEXAS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ HOUSTON, TX
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-14 |
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