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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-06-05 |
| CA | RA | APPROVED | 2025-06-05 |
| NV | RA | APPROVED | 2025-06-05 |
| TX | RA | APPROVED | 2025-06-05 |
Branch Locations
1048 Irvine Ave. Ste 783, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 03/2016 | 07/2020 |
| Western International Securities, Inc. | Pasadena | CA | 07/2020 | 06/2025 |
| Lpl Financial Llc | Newport Beach | CA | 06/2025 | Present |
1. 06/05/2025- JOHNSON WEALTH GROUP- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 07/07/2020- 150 Hours Per Month- 150 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-26 |
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