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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2026-07-10 |
| AZ | RA | APPROVED | 2024-07-11 |
| TX | RA | APPROVED_RES | 2024-07-08 |
Branch Locations
9375 E Shea Blvd, Ste 100, Scottsdale, AZ 85260 • United States
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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Scottsdale | AZ | 04/2016 | 07/2024 |
| Lpl Financial Llc | Scottsdale | AZ | 07/2024 | Present |
1) 05/29/2024 - Tower 68 Financial Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 130 Hours per month. 2) 09/16/2024 - Coyote Financial - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/05/2024 - 5 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-04 |
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