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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-02-01
TX RA APPROVED 2018-03-26
  • VA RA
    APPROVED
    Since 2024-02-01
  • TX RA
    APPROVED
    Since 2018-03-26

Branch Locations

17806 Ih 10, Suite 300, San Antonio, TX 78257 • United States

360 Kingsley Park Dr Ste 100, Fort Mill, SC 29715 • United States

17806 I-10 W Promenade 1 Ste 120, San Antonio, TX 78257 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Usaa Financial Planning Services San Antonio TX 12/2003 03/2018
Usaa Financial Advisors, Inc. San Antonio TX 01/2004 03/2018
Lander Wildlife San Antonio TX 05/2008 Present
Sans Llc Boerne TX 04/2013 Present
Usaa Investment Management Company San Antonio TX 01/2018 03/2018
Lpl Financial San Antonio TX 03/2018 Present
  • 12/2003 → 03/2018
    Usaa Financial Planning Services
    San Antonio, TX
  • 01/2004 → 03/2018
    Usaa Financial Advisors, Inc.
    San Antonio, TX
  • 05/2008 → Present
    Lander Wildlife
    San Antonio, TX
  • 04/2013 → Present
    Sans Llc
    Boerne, TX
  • 01/2018 → 03/2018
    Usaa Investment Management Company
    San Antonio, TX
  • 03/2018 → Present
    Lpl Financial
    San Antonio, TX
Previous Registrations
  • 2018-01-08 → 2018-04-25
    San Antonio, TX
  • 2004-02-26 → 2018-01-08
    Usaa Financial Planning Services
    San Antonio, TX
    San Antonio, TX
    San Antonio, TX
    San Antonio, TX
Other Businesses

1. Sans Enterprises LLC / Real Estate Rental / 1% / 845 E 21st, Colorado City, TX 2. Genesis Wealth Management / DBA for LPL Business (entity for LPL business) / 100% / San Antonio, TX 3. Lander Whitetail / Business Owner / 6% / Falls City, TX 4. 10/09/2023 - 16 Palms - Real Estate Rental - Owner - Investment Related - At Reported Business Location(s) - Start Date 05/01/2023 - 1 Hour Per Month/ 0 Hour During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-09-21
  • S63 Uniform Securities Agent State Law Examination
    1999-09-21
Designations
  • Certified Financial Planner

View on SEC IAPD

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