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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-03-06 |
| NJ | RA | APPROVED | 2025-03-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Investment Center, Inc. | Somerville | NJ | 08/2007 | 03/2025 |
| Mark J. Mauro Cpa | Somerville | NJ | 02/2001 | Present |
| Ic Advisory Services, Inc. | Somerville | NJ | 10/2008 | 03/2025 |
| Lpl Financial Llc | Somerville | NJ | 03/2025 | Present |
1- 03/06/2025 - Mauro & Co., PC - Tax Prep/Accounting/CPA - CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/2018 - 80 hours per month/ 40 hours during trading 2- 03/06/2025 - Mauro, CPA - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/03/2024 - 85 hours per month/ 65 hours during trading 3- 03/06/2025 - Maria Muth - Non-Variable Insurance - Insurance Rep - Investment Related - At Reported Business Location(s) - Start Date 01/01/2016 - 5 hours per month/ during trading 4- 11/20/2025 - Mauro CPA - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 01/01/2016 - 5 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-10-22 |
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