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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 | 2026-04-29 |
| WA | RA | APPROVED | 2007-08-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Washougal | WA | 09/2005 | Present |
1. 4/12/2019 - Heritage Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/15/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 2/14/2023 - No Business Name - Investment Related - Home Based - Real Estate Rental - Start Date - 03/01/2023 - 2 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-19 |
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