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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 | 2024-08-06 |
Branch Locations
5000 Birch Street #8000, Newport Beach, CA 92660-2158 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concert Wealth Management, Inc. | San Jose | CA | 04/2016 | 12/2017 |
| Jp Morgan Securities, Llc | Mission Viejo | CA | 02/2019 | 01/2020 |
| Jp Morgan Chase Bank, N.A. | Mission Viejo | CA | 02/2019 | 01/2020 |
| Concert Wealth Management | Mission Viejo | CA | 04/2016 | 12/2016 |
| Stephen A. Kohn And Associates, Ltd. | San Jose | CA | 02/2017 | 06/2018 |
| Concert Wealth Management | Laguna Niguel | CA | 03/2015 | 02/2019 |
| Beacon Pointe Advisors, Llc | Newport Beach | CA | 02/2020 | 11/2021 |
| Beacon Pointe Insurance Services | Newport Beach | CA | 02/2020 | 11/2021 |
| Lpl Financial Llc | San Juan Capistrano | CA | 01/2021 | 06/2024 |
| Lpl Financial Llc | Newport Beach | CA | 08/2024 | Present |
1- 12/23/2024 - Pence Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 160 hours per month/ 120 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-26 |
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