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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 |
|---|---|---|---|
| LA | RA | APPROVED | 2025-08-21 |
| TN | RA | APPROVED | 2025-08-21 |
| TX | RA | APPROVED_RES | 2025-08-21 |
Branch Locations
4990 Poplar Ave, Memphis, TN 38117 • United States
200 West Congress Street, Lafayette, LA 70501 • United States
9185 Winchester Rd, Germantown, TN 38138 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Tennessee Brokerage, Inc. | Memphis | TN | 09/2012 | Present |
| Lpl Financial Llc | Memphis | TN | 08/2025 | Present |
1- 08/21/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Investment Related - At reported Business Location(s) - Start Date 08/04/2025 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-21 |
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