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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 | 2025-01-29 |
Branch Locations
6205 Blue Lagoon Dr Ste 100, Miami, FL 33126 • United States
5501 Josh Birmingham Pkwy Baggage Level, Charlotte, NC 28208-5750 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regions Bank | Hialeah | FL | 06/2016 | 04/2019 |
| Cetera Investment Services Llc | St.CLoud | MN | 06/2016 | 04/2019 |
| Cetera Investment Advisers Llc | Hialeah | FL | 06/2016 | 04/2019 |
| Citigroup | Miami | FL | 04/2019 | 04/2024 |
| United Community Bank | Miami | FL | 01/2025 | 04/2025 |
| Lpl Financial | Miami | FL | 01/2025 | Present |
| Unemployed | Miami | FL | 04/2024 | 01/2025 |
| American Airlines Credit Union | Miami | FL | 04/2025 | Present |
1)01/10/2025 - United Community Advisory Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 05/28/2025 - Flagship Financial Group - Inv. Related - DBA for LPL Business (entity for LPL business) - At reported business locations - Start Date:04/14/2025 - 800 Hrs/Mth - 800 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-26 |
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