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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2026-01-23 |
| TX | RA | APPROVED | 2022-05-17 |
Branch Locations
4401 Hwy 73, Port Arthur, TX 77642 • United States
4401 Hwy 73, Port Arthur, TX 77642 • United States
360 Kingsley Park Dr Ste 100, Fort Mill, SC 29715 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Brokerage Services, Inc. | Waverly | IA | 11/2003 | 05/2022 |
| Cuna Mutual Life Insurance Society | Waverly | IA | 11/2003 | 05/2022 |
| Five Point Credit Union | Port Arthur | TX | 05/2022 | Present |
| Lpl Financial, Llc | Port Arthur | TX | 05/2022 | Present |
5/2022 - DBA for LPL Business (entity for LPL business) - Five Point Investment Group - Investment Related - Port Arthur, TX 77642
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-01 |
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