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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 |
|---|---|---|---|
| AK | RA | APPROVED | 2025-05-01 |
| AZ | RA | APPROVED | 2025-05-01 |
| CO | RA | APPROVED | 2025-05-01 |
| DC | RA | APPROVED | 2025-05-01 |
| MT | RA | APPROVED | 2025-05-01 |
| TX | RA | APPROVED_RES | 2025-05-01 |
| UT | RA | APPROVED | 2025-05-01 |
| WA | RA | APPROVED | 2025-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alaska Airlines | Seattle | WA | 11/2002 | 10/2022 |
| Scf Securities, Inc. | Fresno | CA | 09/2007 | 05/2025 |
| Scf Investment Advisors, Inc. | Fresno | CA | 01/2008 | 05/2025 |
| Lpl Financial Llc | Federal Way | WA | 05/2025 | Present |
1. 5/2025 - Vista Financial Planning Group - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location - Start Date 05/02/2025 - 120hrs/MTH 2. 5/2025 - Midland National Life Insurance - Non-Variable Insurance - INV REL - At Reported Business Location - Start Date 05/02/2025 - 10hrs/MTH 3. 5/2025 - Mutual of Omaha - Non-Variable Insurance - INV REL - At Reported Business Location - Start Date 05/02/2025 - 0hrs/MTH 4. 5/2025 - Penn Mutual Life Insurance - Non-Variable Insurance - INV REL - At Reported Business Location - Start Date 05/02/2025 - 0hrs/MTH
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-03 |
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