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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-01 |
| CA | RA | APPROVED | 2020-03-18 |
Branch Locations
895 Dove St Ste 300, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed | New Canaan | CT | 12/2010 | 03/2020 |
| Lincoln Financial Advisors | Irvine | CA | 09/2015 | 03/2020 |
| Alliant Credit Union | Los Angeles | CA | 03/2020 | Present |
| Lpl Financial Llc | Los Angeles | CA | 03/2020 | Present |
1. 3/18/2020 - ALLIANT CREDIT UNION - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Started 03/16/2020 - 160 Hours Per Month/100 Hours During Securities Trading - Time Spent 100%. 2. 3/25/2020 - Alliant Retirement and Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 3. 08/23/2021 - University of CA Riverside Extension - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Start Date: 08/12/2021 - 2 Hours Per Month/1 Hour During Securities Trading - Advisor to University of California Extension-Transformational Leadership Executive Program. 4. 06/09/2025 - KRYSTIAN CIEPLUCHA - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:05/30/2025 - 10 Hours Per Month/10 Hour During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-08-11 |
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