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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 | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
Branch Locations
1 Pointe Dr., Ste 240, Brea, CA 92821 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Riverside | CA | 04/2015 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Riverside | CA | 09/2015 | 07/2021 |
| Moreno Valley Community Band | Riverside | CA | 05/2016 | 07/2021 |
| University Heights Middle School Site Council | Riverside | CA | 10/2019 | 07/2021 |
| Lpl Financial Llc | Riverside | CA | 07/2021 | Present |
1. 11/10/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 09/17/2015 - Term Life and Permanent Life. 2. 02/22/2024 - Rivera Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 3/1/2024 - 170 Hrs/Mo; 4 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-02 |
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