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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-15 |
Branch Locations
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oakland | CA | 08/2011 | 02/2019 |
| Bank Of America, N.A. | Oakland | CA | 11/2011 | 02/2019 |
| Jp Morgan Securities, Llc | Pleasanton | CA | 02/2019 | 05/2020 |
| Jp Morgan Chase Bank, N.A. | Pleasanton | CA | 02/2019 | 05/2020 |
| Newbridge Securities Corporation | Concord | CA | 11/2020 | 09/2023 |
| Newbridge Financial Services Group, Inc | Concord | CA | 11/2020 | 09/2023 |
| Unemployed | Concord | CA | 05/2020 | 11/2020 |
| Lpl Financial Llc | Concord | CA | 09/2023 | Present |
1) 08/2023 - Nicholas Gomez - Non-Variable Insurance - Inv. Related - Concord, CA - Agent Selling Insurance - Start Date 07/28/2023 - 0hrs/month - 1% time spent
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-07-25 |
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