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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2018-05-04 |
| TX | RA | APPROVED | 2018-05-04 |
| OH | RA | APPROVED | 2017-09-27 |
Branch Locations
10706 W Bell Rd, Sun City, AZ 85351 • United States
14543 W Grand Ave, Surprise, AZ 85374 • United States
6900 East Camelback Rd Ste 100, Phoenix, AZ 85251 • United States
10633 N Tatum Blvd Ste 101, Phoenix, AZ 85028 • United States
100 E Camelback Rd Ste 136, Phoenix, AZ 85012 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Sun City | AZ | 03/2010 | Present |
| Flagstar Bank N.A. | Sun City | AZ | 08/2010 | Present |
1. 05/24/2023 - No Business Name - Investment Related - Phoenix, AZ - Real Estate Rental - Start Date 05/13/2023 - 10 Hours Per Month/ 0 Hours During Securities Trading 2. 02/02/2024 - Flagstar Wealth Services - Inv related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 2/2/2024
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-02-13 |
| S65 | Uniform Investment Adviser Law Examination | 2001-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-24 |
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