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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2026-08-19 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Port Huron | MI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Port Huron | MI | 11/2016 | 08/2021 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 08/2021 | 08/2026 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 08/2021 | 08/2026 |
| Lpl Financial Llc | Lakeport | MI | 08/2026 | Present |
1. 08/2026 - Independant Insurance Agent - Non-Variable Insurance - Inv Related – 1 Hour(s)/Month – 1 Hour(s) During Trading – Lakeport, MI, 48059 – OBA Start Date: 08/01/2001 2. 08/2026 - Conte Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – Camp Hill, PA, 17011 – OBA Start Date: 8/18/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-13 |
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