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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-06-09 |
Branch Locations
2828 North Litchfield Road, Goodyear, AZ 85395 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Bank Na | Goodyear | AZ | 03/2016 | Present |
| Lpl Financial Llc | Goodyear | AZ | 03/2021 | Present |
1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Harris Bank - Investment Related - At Reported Business Location(s) 2) 03/24/2021 - Financial Institution Duty - BMO Bank NA - Investment Related - At Reported Business Location(s) - Start Date 03/27/2016 - 160 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-29 |
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