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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mirae Asset Global Investments (Usa) Llc | New York | NY | 02/2015 | 11/2017 |
| Funds Distributor, Llc | New York | NY | 02/2015 | 11/2017 |
| Edward Jones | St. Louis | MO | 11/2017 | 06/2022 |
| Lpl Financial Llc | Chester | NJ | 06/2022 | Present |
1.10/13/2023; WCC Wealth Management; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 06/09/2022; 40hrs/mth; 40hrs during trading 2.02/21/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Riverstone Wealth Planners; Investment Related; at Reported Business Location(s); Start Date 04/02/2025; 40hrs/mth; 40hrs during trading 3.07/23/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Riverstone Wealth Planners; Investment Related; at Reported Business Location(s); Start Date 04/02/2025; 160hrs/mth; 160hrs during trading 4.12/01/2025; Book of Brokers; Other - Non-Variable Insurance Trails Only; Investment Related; ; Start Date 11/20/2025; 0hrs/mth; 0hrs during trading 5.08/20/2026; L and G Real Estate Holdings LLC; Business Entity For Tax/Investment Purposes Only; Investment Related; at Reported Business Location(s); Start Date 08/13/2026; 1hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-02 |
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