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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 | 2026-05-14 |
Branch Locations
805 Aerovista Place, Ste 206, San Luis Obispo, CA 93401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The O.N. Equity Sales Company | Cincinnati | OH | 12/2014 | 12/2022 |
| Ohio National Financial Services | Cincinnat | OH | 09/2014 | 12/2022 |
| Centaurus Financial Inc. | Anaheim | CA | 12/2022 | 05/2026 |
| Lpl Financial | San Luis Obispo | CA | 05/2026 | Present |
1.05/2026 - Obispo Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 80 Hour(s) During Trading - At Reported Business Location (s)- OBA Start Date: 5/14/2026 2. 05/2026- Medallion Financial & Ins. Services - Non-Variable Insurance - Inv Related - 5 Hour(s)/Month - 5 Hour(s) During Trading - San Luis Obispo CA 93401 - OBA Start Date: 09/01/1989 3. 05/2026 -Annette Shanks - Real Estate Rental- Inv Related - 5 Hour(s)/Month - 5 Hour(s) During Trading - San Luis Obispo CA 93401 - OBA Start Date: 01/01/2005
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-16 |
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