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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2025-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Glp Investment Services, Llc | Farmington Hills | MI | 10/2016 | 04/2017 |
| N/A | Dallas | TX | 12/2014 | 09/2016 |
| Bradley Woods & Co. Ltd. | New York | NY | 05/2018 | 10/2018 |
| Equity Build | Dallas | TX | 04/2017 | 08/2018 |
| Unemployed | Dallas | TX | 11/2018 | 03/2019 |
| Compass Bank | Birmingham | AL | 03/2019 | 08/2021 |
| Bbva Compass Insurance Agency Inc | Austin | TX | 03/2019 | 08/2021 |
| Bbva Securities Inc | Dallas | TX | 03/2019 | 08/2021 |
| Bbva Wealth Solutions Inc. | Dallas | TX | 03/2019 | 08/2021 |
| Pnc Investments | Murphy | TX | 08/2021 | 02/2022 |
| Hilltop Securities | Dallas | TX | 02/2022 | 09/2025 |
| Lpl Financial Llc | Allen | TX | 09/2025 | Present |
1. 08/2025 - FIELD WEALTH MANAGEMENT INC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - 0 Hrs/Mth - 0 Hrs During Trading - Allen TX 75013 - OBA Start Date: 06/01/2024 2. 08/2025 - Kadens Collectibles LLC- Business Entity For Tax/Investment Purposes Only - Not Investment Related - 0 Hrs/Mth - 0 Hrs During Trading - Allen TX 75013 - OBA Start Date: 12/12/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-22 |
| S66 | Uniform Combined State Law Examination | 2003-03-17 |
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