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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-12-08 |
Branch Locations
4302 18Th Avenue, Brooklyn, NY 11218 • United States
1401 Avenue M, Brooklyn, NY 11230 • United States
5220 13Th Ave, Brooklyn, NY 11219 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 07/2015 | 02/2021 |
| Allstate Insurance Co | Northbrook | IL | 06/2023 | 12/2025 |
| Unemployed | Woodhaven | NY | 03/2021 | 05/2023 |
| Allstate Financial Advisors, Llc | Lincoln | NE | 08/2023 | 12/2025 |
| Allstate Financial Services, Llc | Lincoln | NE | 06/2023 | 12/2025 |
| Lpl Financial Llc | Brooklyn | NY | 12/2025 | Present |
| Webster Bank | Brooklyn | NY | 12/2025 | Present |
1) 11/17/2025- Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Inv. related- At reported business location(s) 2) 11/10/2025- Nubari Corp- Business Entity For Tax/Investment Purposes Only- owner - Non-inv. related - Woodhaven, NY -start date 11/10/2025- 4hrs/mth - 0 during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-03 |
| S65 | Uniform Investment Adviser Law Examination | 2007-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2004-08-30 |
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