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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 | 2025-08-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Strategic Retirement Partners | Williamsburg | VA | 01/2016 | 12/2016 |
| Kestra Financial Services, Inc | Austin | TX | 04/2016 | 12/2016 |
| Unemployed | West Palm Beach | FL | 01/2017 | 02/2017 |
| Cetera Wealth Services, Llc | El Segundo | CA | 03/2017 | 07/2025 |
| Sageview Advisory Group | West Palm Beach | CA | 03/2017 | 10/2017 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2023 | 07/2025 |
| Lpl Financial Llc | West Palm Beach | FL | 07/2025 | Present |
1 - 07/2025 - Waypoint Financial Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s). 2 - 07/2025 - Eszter Koch - Non-Variable Insurance - Inv Related - 4 Hours/Month - 1 Hour During Trading - West Palm Beach, FL - OBA Start Date: 06/15/2000. 3 - 07/2025 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-07-17 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-13 |
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