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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 | 2024-03-07 |
| TX | RA | APPROVED | 2018-08-20 |
Branch Locations
2825 Wilcrest Drive, Suite 654, Houston, TX 77042 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wunderlich Securities, Inc. | Memphis | TN | 02/2009 | 08/2018 |
| Lpl Financial, Llc | Houston | TX | 08/2018 | Present |
1) 8/20/2018 - DBA FOR LPL BUSINESS - STAR GROUP WEALTH MANAGEMENT - HOUSTON, TX 2) 8/20/2018 - REAL ESTATE RENTAL - LL BRIAR HOLLOW LLC - 2106 Foundary Drive. Katy TX 77493 3) 8/20/2018 - DBA FOR LPL BUSINESS - STAR GROUP WEALTH MANAGERS - HOUSTON, TX 4) 08/19/2019 - 3 Mark Financial - Investment related - 1600 Hwy 6 Suite 400 Sugar Land TX 77478 - Non-Variable Insurance - start date:07/01/2019 - 2 hrs/mo - 2 hrs during trading. 5) 08/19/2019 - Infinite You Life - Investment related - 2800 Post Oak Blvd, Suite 4100, Houston TX 77056 - Non-Variable Insurance - start date:07/01/2019 - 1 hr/mo - 1 hr during trading. 6) 1/10/2020 - HIghland Capital Brokerage - Investment Related - 3535 Grandview Parkway, Suite 600, Birmingham, AL 35243 - Non-Variable Insurance - Started 12/02/2019 - 2 Hours Per Month During Securities Trading. 7) 1/10/2020 - Guardian - Investment Related - At Reported Business Location(s) - 55 Waugh Drive, Suite 150, Houston TX 77007 - Non-Variable Insurance - Started 10/21/2019 - 2 Hours Per Month During Securities Trading - DI and Life.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-27 |
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