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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 | 2026-06-05 |
| CA | RA | APPROVED | 2026-05-21 |
Branch Locations
13300 Crossroads Parkway Suite 120, City Of Industry, CA 91746 • United States
9401 Wilshire Blvd, Beverly Hills, CA 90212 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Murrieta | CA | 10/1992 | 12/2022 |
| Wells Fargo Advisors Llc | Murrieta | CA | 10/2006 | 11/2016 |
| Bmo Harris Bank | City Of Industry | CA | 05/2026 | Present |
| Lpl Financial Llc | City Of Industry | CA | 05/2026 | Present |
| Unemployed | Temple City | CA | 07/2025 | 05/2026 |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 10/2017 | 12/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pasadena | CA | 12/2022 | 07/2025 |
| Bank Of America, N.A. | Pasadena | CA | 12/2022 | 07/2025 |
1. “Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services - Inv Rel - At Reported Business Location (s) - 05/2026" 2. 05/2026 - Family Trust - Real Estate Rental - Investment related - Temple City CA 91780 - 04 Hrs/Mth - 00 Hrs During Trading - OBA start date: 06/01/2016
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-16 |
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