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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-07-14 |
| CA | RA | APPROVED | 2023-07-14 |
Branch Locations
Fountain Hills, AZ • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1 disclosure category 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 Advisors Llc | Hartford | CT | 10/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Hartford | CT | 11/2016 | 10/2017 |
| Rbc Capital Markets, Llc | Farmington | CT | 10/2017 | 02/2019 |
| Kestra Financial, Inc | Austin | TX | 02/2019 | 04/2020 |
| Comerica Securities | Austin | TX | 04/2020 | 06/2021 |
| Lpl Financial, Llc | Austin | TX | 07/2021 | 06/2022 |
| M. S. Howells & Co | Scottsdale | AZ | 06/2022 | 05/2023 |
| Msh Capital Advisors | Scottsdale | AZ | 07/2022 | 05/2023 |
| Lpl Financial Llc | Scottsdale | AZ | 06/2023 | Present |
| Unemployed | Scottsdale | AZ | 05/2023 | 06/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-26 |
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