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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2026-04-14 |
Branch Locations
250 W. Pennsylvania Ave., Southern Pines, NC 28387 • 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 |
|---|---|---|---|---|
| M&T Securities, Inc. | Silver Springs | MD | 05/2016 | 03/2017 |
| Ameriprise Financial Services Inc | Columbia | MD | 03/2017 | 07/2019 |
| Wealthshield Partners, Llc | Cary | NC | 10/2020 | 10/2022 |
| Ameriprise Financial Services Inc | Southern Pines | NC | 07/2019 | 10/2020 |
| Hicks & Associates Wealthmanagement, Llc | Cary | NC | 10/2022 | 04/2024 |
| Fidelis Financial | Southern Pines | NC | 01/2024 | 10/2025 |
| Oneascent Financial Solutions, Llc | Birmingham | AL | 10/2025 | 03/2026 |
| Lpl Financial | Southern Pines | NC | 04/2026 | Present |
1. 03/2026 - Good Life Advisors of NC - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 3/31/2026 2. 03/2026 - The Cason Group (BGA) - Non-Variable Insurance - Investment related - Columbia SC 29201 - 01 Hrs/Mth - 01 Hrs During Trading - OBA start date: 01/01/2021 3. 04/16/2026 - Cherry 3-56 Financial - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 01/01/2023 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-24 |
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