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CRD 3118389
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 | 2025-01-21 |
| TX | RA | APPROVED_RES | 2020-07-23 |
Branch Locations
1601 Cooper Point Rd. Nw, Olympia, WA 98502 • United States
750 B St Ste 2230, San Diego, CA 92101 • United States
402 W Broadway Ste 1100, San Diego, CA 92101 • United States
12520 High Bluff Dr. Suite 120, San Diego, CA 92130 • 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 |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/1998 | 07/2020 |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 08/1998 | 07/2020 |
| Lpl Financial, Llc | San Diego | CA | 07/2020 | Present |
1)01/2015 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES - LA VIE EN ROSE PROPERTIES, LLC - 1% - INVESTMENT RELATED - 700 E ST SAN DIEGO, CA 92101 2)08/1998 - NON-VARIABLE INSURANCE TRAILS ONLY - 5% - INVESTMENT RELATED - SAN DIEGO, CA 92101 3)01/2019 - REAL ESTATE RENTAL - FIRST FINANCIAL EQUITY LENDERS CORP - 1% - INVESTMENT RELATED - 80290 VIA VALEROSA LA QUINTA, CA 92253 4)04/26/2023 - High Bluff Private Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/28/2023 - 50 Hours Per Month/5 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-22 |
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