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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 | 2025-11-29 |
| TX | RA | APPROVED_RES | 2025-01-29 |
Branch Locations
759 S West Federal Hwy Ste 305, Stuart, FL 34994 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Bank | Palm City | FL | 07/2014 | 10/2018 |
| Pnc Investments | Palm City | FL | 07/2014 | 10/2018 |
| Lpl Financial Llc | Stuart | FL | 10/2018 | Present |
1. 03/20/2019 - American Senior Health Services - Not investment related - At reported business location(s) - Non-Variable Insurance - start date:10/15/2018 - 2 hrs/mo - 1 hr during trading. 2. 12/22/2021 - American Health Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/1/2021 - 20 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-03-07 |
| S65 | Uniform Investment Adviser Law Examination | 2012-02-29 |
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