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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 | 2025-03-07 |
| NC | RA | APPROVED | 2025-02-10 |
Branch Locations
3731 Latrobe Drive, Suite 200, Charlotte, NC 28211 • United States
3731 Latrobe Drive, Suite 200, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vicus Capital, Inc. (Formerly Pfg Financial Advisors) | State College | PA | 07/2009 | 02/2025 |
| Cetera Advisor Networks Llc | El Segundo | CA | 09/2013 | 02/2025 |
| Lpl Financial Llc | Charlotte | NC | 02/2025 | Present |
1- 01/2025 / Tucker Boynton Financial Group / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 01/2025 / Tucker Boynton Financial Group / Non-Variable Insurance / Investment Related / 160 hrs mth / 8 hrs during trading / Charlotte NC / Start date: 12/01/2005 3- 01/2025 / Lyndhurst Associates LLC / Real Estate Rental / 10 hrs mth / 1 hr during trading / Charlotte NC / Start date: 2/20/2021 4- 01/2025 / Tucker Boynton Company / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business 5- 01/2025 / J&S Capital Investments LLC / Business Entity For Tax/Investment Purposes Only / Not Investent Related / Charlotte NC / Start date: 02/01/2021
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-29 |
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