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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 | 2018-04-25 |
| CA | RA | APPROVED | 2015-11-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | San Diego | CA | 11/2015 | Present |
(1) 10/25/2016: No Business Name - Real Estate Rental - Investment Related - San Diego, CA - Start 09/21/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading. (2) 12/17/2021 - FINRA - Not Investment Related - Home Based - Outside/W-2 Employment - Start Date: 01/03/2022 - 2 Hours Per Month/0 Hours During Securities Trading - Non-public FINRA arbitrator.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2007-07-30 |
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