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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-08 |
| TX | RA | APPROVED | 2025-05-08 |
Branch Locations
4370 La Jolla Village Drive Suite 640, San Diego, CA 92122 • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | La Jolla | CA | 08/2012 | 05/2025 |
| Lpl Financial Llc | La Jolla | CA | 05/2025 | Present |
1 - 04/2025 - Arv Private Wealth - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s). 2 - 04/2025 - FORSETI ENTERPRISES LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 130 Hours/Month - 6.5 Hours During Trading - San Diego, CA - OBA Start Date: 04/02/2025.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-07-30 |
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