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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 |
|---|---|---|---|
| LA | RA | APPROVED | 2025-05-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sorrento Pacific Financial, Llc | San Diego | CA | 07/2012 | 05/2025 |
| First American Bank | Vacherie | LA | 07/2012 | Present |
| Lpl Financial Llc | Vacherie | LA | 05/2025 | Present |
1- 07/16/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First American Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/16/2025 - 150 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-04-23 |
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