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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 | 2025-07-10 |
Branch Locations
13740 Research Blvd Bldg F Ste 2, Austin, TX 78750 • United States
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 |
|---|---|---|---|---|
| Next Financial Group, Inc. | Austin | TX | 02/2001 | 07/2025 |
| Lpl Financial Llc | Austin | TX | 07/2025 | Present |
1. 07/10/2025- MELANIE FRANK- Notary- INV Related- At Reported Business Location(s)- Start date 05/13/2022- 2 Hours Per Month- 2 Hours During Trading 2. 07/10/2025- PRIDE DISPOSAL SYSTEMS LLC-Outside/W-2 Employment- Not INV Related- At Austin, TX- 50 Hours Per Month- 25 Hours During Trading 3. 07/10/2025- GEMINI INVESTMENTS & INSURANCE SERVICES- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 03/01/2015- 200 Hours Per Month- 200 Hours During Trading 4. 07/10/2025- MELANIE FRANK INSURANCE AGENCY- Property and Casualty- INV Related- At Reported Business Location(s)- Start date 10/10/2003- 40 Hours Per Month- 40 Hours During Trading 5. 07/10/2025- MELANIE FRANK INSURANCE AGENCY LLC- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 08/07/2024- 200 Hours Per Month- 200 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-18 |
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