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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-08-07 |
| TX | RA | APPROVED | 2026-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fort Lauderdale | FL | 07/2017 | 03/2018 |
| Unemployed | Hallandale | FL | 05/2017 | 07/2017 |
| Villanova School Of Law | Villanova | PA | 08/2015 | 05/2017 |
| Bank Of America, N.A. | Fort Lauderdale | FL | 12/2017 | 03/2018 |
| Sun Trust Investment Services | Bal Harbour | FL | 03/2018 | 04/2019 |
| Suntrust Advisory Services, Inc. | Atlanta | GA | 03/2018 | 04/2019 |
| Lpl Financial Llc | Hallandale Beach | FL | 05/2019 | 12/2020 |
| Level Four Advisory Services | Hallandale Beach | FL | 05/2019 | 02/2021 |
| Harbor Financial Services, Llc | Mobile | AL | 01/2021 | 02/2021 |
| Thurston Springer Financial | Indianapolis | IN | 04/2021 | 08/2026 |
| Lpl Financial | Hialeah | FL | 08/2026 | Present |
1.08/04/2026; NA; Real Estate Rental; Investment Related; Miami,FL; Start Date 07/01/2025; 1hrs/mth; 0hrs during trading 2.08/04/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Pro Wealth Financial; Investment Related; at Reported Business Location(s); Start Date 07/08/2026; 160hrs/mth; 160hrs during trading 3.08/18/2026; Disability insurance; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 08/12/2026; 1hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-22 |
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