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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 | 2025-01-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Carlsbad | CA | 09/2018 | 03/2019 |
| Capital Group American Funds | Los Angeles | CA | 12/2012 | 09/2018 |
| American Funds Distributors Inc | Los Angeles | CA | 01/2013 | 09/2018 |
| Clinton Cooper | La Jolla | CA | 05/2019 | 09/2019 |
| Northwestern Mutual Investment Services Llc | La Jolla | CA | 05/2019 | 09/2019 |
| Clinton W Cooper | La Jolla | CA | 04/2019 | 09/2019 |
| Cooper Capital Advisors, Llc | Encinitas | CA | 09/2019 | 04/2020 |
| Lpl Financial | Encinitas | CA | 05/2020 | Present |
1) 5/2020 - DBA for LPL Business (entity for LPL business) - Fresh Water Financial - Investment Related - Carlsbad, CA 92011 2) 7/2008 - Business Entity For Tax/Investment Purposes Only - Fish Tale, LLC - Not Investment Related - 1551 Shelter Island Dr San Diego, CA 92106 3) 3/1/2021 - FISHTALE - Not Investment Related - Kona Kai Marina, San Diego, CA - Other-Business Owner - Owner - Start Date: 1/1/2021 - 0 Hours Per Month/0 Hours During Securities Trading - Will allow charter captains the ability to charter boat.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-22 |
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