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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2026-07-21
TX RA APPROVED 2026-07-20
  • IA RA
    APPROVED
    Since 2026-07-21
  • TX RA
    APPROVED
    Since 2026-07-20

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

1301 19Th Avenue Northwest, Clinton, IA 52732 • United States

1301 19Th Avenue Northwest, Clinton, IA 52732 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ausdal Financial Partners Davenport IA 08/2012 07/2026
Lpl Financial Llc Clinton IA 07/2026 Present
  • 08/2012 → 07/2026
    Ausdal Financial Partners
    Davenport, IA
  • 07/2026 → Present
    Clinton, IA
Previous Registrations
Other Businesses

1. 07/2026 - Referral Income - Referral Income - Not Inv Related – 0 Hour(s)/Month – 0 Hour(s) During Trading – Clinton IA 52732 – OBA Start Date: 06/22/2026 2. 07/2026 - Brad Stuart - Non-Variable Insurance - Inv Related – 3 Hour(s)/Month – 2 Hour(s) During Trading – Fulton IL 61252 – OBA Start Date: 06/22/2026 3. 07/2026 - WPF Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related – 250 Hour(s)/Month – 150 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 7/21/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-21
  • S66 Uniform Combined State Law Examination
    2008-04-21
Other Names
  • Brad Vincent Stuart

View on SEC IAPD

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