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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-05-01 |
| TX | RA | APPROVED | 2023-01-11 |
Branch Locations
2 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 |
|---|---|---|---|---|
| Cetera Advisor Networks Llc | El Segundo | CA | 08/2016 | 03/2020 |
| Vaughn Asset Advisory Llc | Dallas | TX | 07/2016 | Present |
| Summit Financial Group | Dallas | TX | 08/2016 | 01/2023 |
| Vice Tiger, Llc | Dallas | TX | 03/2017 | 01/2019 |
| Ameritas Investment Company, Llc | Lincoln | NE | 03/2020 | 01/2023 |
| Ameritas Life Insurance Corp | Lincoln | NE | 03/2020 | 01/2023 |
| Vaughn Asset Advisory Agency Llc/Dba Vaughn Insurance Agency | Dallas | TX | 09/2017 | Present |
| Ameritas Advisory Services, Llc | Lincoln | NE | 11/2021 | 01/2023 |
| Dtj 2021 Llc A Texas Llc | Dallas | TX | 11/2021 | Present |
| Lpl Financial Llc | Dallas | TX | 01/2023 | Present |
1) 1/2023- Vaughn Asset Advisory, LLC- DBA for LPL Business (entity for LPL business)- inv. related- Dallas, TX 2) 1/2023- Vaughn Asset Advisory Agency LLC- Non-Variable Insurance- Life Insurance/Health trails only - inv. related - Dallas, TX start date 10/20/2019 1hr/mth 3) 1/2023- Vaughn Asset Advisory Agency LLC- Insurance Agency- President/managing member- inv. related- Dallas, TX- Start date 9/20/2017- 4hrs/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-28 |
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