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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 | 2026-07-01 |
| TX | RA | APPROVED | 2026-06-30 |
Branch Locations
3111 Camino Del Rio N, Ste 400, Office #443, San Diego, CA 92108 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Comerica Securities, Inc. | San Diego | CA | 02/2014 | 08/2023 |
| Ameriprise Financial Services, Llc | San Diego | CA | 08/2023 | 06/2026 |
| Lpl Financial Llc | San Diego | CA | 06/2026 | Present |
1. 06/2026 - NAC Capital Group LLC - Business Entity For Tax/Investment Purposes Only - Inv Related – 160 Hour(s)/Month – 100 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 6/30/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-17 |
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