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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2025-10-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner And Smith, Inc. | Lynchburg | VA | 02/2013 | 09/2019 |
| Bank Of America, N.A. | Lynchburg | VA | 05/2013 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Lynchburg | VA | 09/2019 | 09/2025 |
| Lpl Financial | Lynchburg | VA | 09/2025 | Present |
1) 09/29/2025- Swim Financial / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) - Start Date:08/11/2025 - 160 hrs per month - 100% time spent 2) 09/29/2025 - Sharrett Wealth Investment Management / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) - Start Date:08/11/2025 - 160 hrs per month - 100% time spent. 3) 09/29/2025 - Hole Punchers, LLC / Business Owner / Non Inv Related / Monroe, VA 24574 / Start date:08/01/2025 - 1 Hrs/Mth - 0 Hrs During Trading. 4) 09/29/2025 - S.W.I.M. Financial - Investment Related - DBA for LPL Business (entity for LPL business) - At reported business location (s) - Start Date:08/11/2025 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-11 |
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