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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_RES | 2023-04-11 |
| CA | RA | APPROVED | 2008-07-01 |
Branch Locations
4550 Kearny Villa Rd. Ste 214, San Diego, CA 92123 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | San Diego | CA | 03/2008 | Present |
1. 4/20/2009: Swain Wealth Management - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 5% - Fixed term life, fixed whole life, fixed annuities and health insurance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-09-19 |
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