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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 | 2020-08-31 |
| CA | RA | APPROVED | 2014-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | La Mesa | CA | 01/2014 | Present |
1.01/31/2014; Coordinated Contract Services; Business Owner; Not Investment Related; ; Start Date ; hrs/mth; hrs during trading 2.01/31/2014; Macias Consulting Services; Business Entity For Tax/Investment Purposes Only; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 3.11/01/2016; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Summit Wealth Solutions; Investment Related; at Reported Business Location(s); Start Date 10/18/2016; 0hrs/mth; 0hrs during trading 4.01/21/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Summit Financial; Investment Related; at Reported Business Location(s); Start Date 01/14/2020; 15hrs/mth; 15hrs during trading 5.07/31/2026; Summit Financial; Tax Prep/Accounting/CPA; Investment Related; La Mesa,CA; Start Date 03/25/2015; 20hrs/mth; 10hrs during trading 6.08/04/2026; Tax Labs LLC; Author; Investment Related; Bonita,CA; Start Date 09/30/2026; 3hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-09 |
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