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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 | 2023-01-19 |
Branch Locations
730 Town And Country Blvd #275, Houston, TX 77024 • United States
800 Town & Country Blvd. Suite 500 Office 323, Houston, TX 77024 • 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 |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Merrimack | NH | 11/2003 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 12/2017 | 01/2023 |
| Bank Of America, N.A. | Houston | TX | 02/2018 | 01/2023 |
| Lpl Financial Llc | Houston | TX | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-18 |
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