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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2026-01-02 |
| TX | RA | APPROVED_RES | 2025-09-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services Llc | Columbia | SC | 05/2016 | 01/2019 |
| Student | Columbia | SC | 08/2013 | 05/2017 |
| Guardian Life Insurance Company Of America | Columbia | SC | 02/2019 | 02/2021 |
| Park Avenue Securities | Columbia | SC | 03/2019 | 02/2021 |
| Lpl Financial, Llc | Columbia | SC | 02/2021 | Present |
1) 02/2021 - DBA for LPL Business (entity for LPL business) - EFINANCIAL ADVISORS - Investment related - At Reported Business Location(s) 2) 05/05/2023 - Source Brokerage - Investment Related - At Reported Business Location(s) - Insurance Agency - insurance broker - Start Date 01/20/2023 - 2 Hours Per Month/0 Hours During Trading 3) 03/10/2026 - EFA Team - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/01/2024 - 120 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-16 |
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