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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
Santa Cruz, CA • United States
3031 Tisch Way 110 Plaza West, San Jose, CA 95128 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Los Gatos | CA | 10/2014 | 01/2023 |
| Strategic Wealth Advisors Group, Llc | Los Gatos | CA | 11/2014 | 01/2023 |
| Cadaret, Grant & Co., Inc. | San Jose | CA | 01/2023 | 07/2025 |
| Lpl Financial Llc | Santa Cruz | CA | 07/2025 | Present |
1. 07/2025 - ADVNC Lacrosse - Coach/ Sports/ Fitness - Woodside, CA - NOT INV REL - Start Date 05/10/2016 - 18hrs/mth | 0hrs during trading 2. 07/2025 - Patrick Bennett & Associates Inc. - Business Entity For Tax/Investment Purposes Only - Santa Cruz, CA - NOT INV REL - Start Date 09/12/2011 - 0hrs/mth | 0hrs during trading 3. 07/2025 - Cypress Private Wealth - DBA for LPL Business (entity for LPL business) - San Jose, CA - INV REL - Start Date 01/01/2018 - 60hrs/mth | 30hrs during trading 4. 07/2025 - Exclusive Insurance Broker - Property and Casualty - Westlake Village, CA - INV REL - Start Date 01/01/2021 - 2hrs/mth | 0hrs/mth 5. 07/2025 - SAGE Planning Solutions - DBA for LPL Business (entity for LPL business) - San Jose, CA - INV REL - Start Date 01/01/2023 - 10hrs/mth | 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-29 |
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