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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-05-01 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Savannah | GA | 10/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Savannah | GA | 11/2016 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Alpharetta | GA | 10/2021 | 02/2024 |
| Unemployed | Kennesaw | GA | 07/2021 | 10/2021 |
| Wells Fargo Advisors Financial Network, Llc | Jacksonville | FL | 02/2024 | 04/2025 |
| Lpl Financial, Llc | Savannah | GA | 04/2025 | Present |
1- 04/2025 - Uber Drive - Other - Not Investment Related - Home Based - Start Date 02/20/2025 - 20 hours per month/ 0 hours during trading 2- 04/2025 - United Community Advisory Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 2011-12-07 |
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