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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2023-11-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 10/2009 | 05/2018 |
| Bank Of America, Na | San Diego | CA | 12/2009 | 05/2018 |
| Lpl Financial, Llc | Vista | CA | 05/2018 | Present |
1. 11/25/2019 - No Business Name - Investment Related - San Diego CA 92117 - Real Estate Rental - Started 03/01/2018 - 1 Hour Per Month/0 Hours During Securities Trading. 2. 11/25/2019 - No Business Name - Investment Related - Imperial Beach CA 91932 - Real Estate Rental - Started 06/01/2018 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 1/13/2022 - No Business Name - Investment Related - la quinta ca 92253 - Real Estate Rental - Started 12/26/2021 - 4 Hours Per Month/0 Hours During Securities Trading. 4. 08/21/2024 - Cielo Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/26/2024 - 200 Hours Per Month/ 8 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-12-08 |
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