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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-01-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Bayonne | NJ | 05/2024 | Present |
| Beh Advisors Llc | New York | NY | 12/2009 | 06/2018 |
| Santander Bank | New York | NY | 06/2018 | 04/2020 |
| 4Ace Capital Partners | New York | NY | 04/2020 | 05/2024 |
1- 10/2024 / Bergen Point Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2.04/29/2025 - Hogan & Associates LLC - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - 10 hrs mth / 5 hrs during trading - Start Date:04/17/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-15 |
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