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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-30 |
| MI | RA | APPROVED | 2026-03-27 |
Branch Locations
31700 Middlebelt Rd Ste 125, Farmington Hills, MI 48334 • United States
31700 Middlebelt Rd Ste 125, Farmington Hills, MI 48334 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Maximus Wealth Management, Inc. | Berkley | MI | 07/2008 | Present |
| Lpl Financial, Llc | Farmington Hills | MI | 03/2026 | Present |
| Gwn Securities | Farmington Hills | MI | 12/2010 | 03/2026 |
1. 03/2026 - Referral Income -Referral Income - Inv Related - 1 Hour(s)/Month - 0 Hour(s) During Trading -Farmington Hills MI 48334 - OBA Start Date: 09/11/2012 2. 03/2026 - Giroux Pappas Trial Attorneys - Attorney/ Legal Services - Not Inv Related - 40 Hour(s)/Month - 30 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 03/01/2016 3. 03/2026 - Maximus Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 130 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 3/27/2026 4.03/2026 - 45th Parallel Rental Properties Suttons Bay - Real Estate Rental- Inv Related - 15 Hour(s)/Month - 0 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 04/29/2022 5. 03/2026 - Andrew J McCulloch PC - Attorney/ Legal Services - Inv Related - 15 Hour(s)/Month - 14 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 09/11/2012 6. 03/2026 - Notary- Notary- Inv Related - 2 Hour(s)/Month - 1 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 06/10/2019 7. 03/2026 - Maximus Wealth Management- Non-Variable Insurance- Inv Related - 5 Hour(s)/Month - 5 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 03/31/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-21 |
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