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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-04-25 |
Branch Locations
3 disclosure categories 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 |
|---|---|---|---|---|
| Suntrust Investment Services, Inc. | Charlotte | NC | 03/2013 | 09/2019 |
| Raymond James Financial Services, Inc | Hickory | NC | 09/2019 | Present |
| Raymond James Financial Services Advisors Inc. | Hickory | NC | 09/2019 | Present |
| Signature Wealth Group | Lenoir | NC | 09/2019 | Present |
| Lpl Financial | Lenoir | NC | 04/2025 | Present |
1-03/2025 / J.L. Davis Financial / DBA for LPL Business (entity for LPL business) / INVESTMENT RLTD / 160 HRS MNTH / 8 HRS DURING TRADING / START 01/22/2021
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-04 |
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