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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 | 2025-06-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Culver City | CA | 03/2015 | 08/2021 |
| Jpmorgan Chase Bank | Culver City | CA | 03/2015 | 08/2021 |
| Uber | San Francisco | CA | 06/2015 | 11/2017 |
| Jpmorgan Securities Llc And Jpmorgan Chase Bank, N.A | El Segundo | CA | 09/2021 | 02/2022 |
| Jpmorgan Securities Llc And Jpmorgan Chase Bank, N.A | Manhattan Beach | CA | 03/2022 | 10/2022 |
| Wells Fargo Clearing Services, Llc | Torrance | CA | 10/2022 | 06/2025 |
| Wells Fargo Bank, Na | Torrance | CA | 10/2022 | 06/2025 |
| Lpl Financial Llc | Gardena | CA | 06/2025 | Present |
| Bmo Harris Bank | Gardena | CA | 06/2025 | Present |
1. 06/16/2025 - BMO INVESTMENT SERVICES - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading - Time Spent: 0 2. 06/16/2025 - BMO Harris Bank - Financial Institution Duty - Investment Related - Gardena CA 90247 - 0 Hrs/Mth - 0 Hrs During Trading - Time Spent: 100 3. 06/16/2025 - Notary - Notary - Investment Related - Gardena CA 90247 - 0 Hrs/Mth - 0 Hrs During Trading - Time Spent: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-20 |
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