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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-06-02 |
| CA | RA | APPROVED | 2022-04-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Chase Bank | San Marcos | CA | 06/2016 | 09/2021 |
| Jp Morgan Securities Llc | San Marcos | CA | 06/2016 | 09/2021 |
| Rancho Buena Vista High School | Vista | CA | 01/2018 | Present |
| Djo Global | Vista | CA | 11/2018 | Present |
| Lpl Financial, Llc | Oceanside | CA | 09/2021 | Present |
1) 04/26/2022 - DBA for LPL Business (entity for LPL business)- FSL ADVISORS INC - Investment Related - Oceanside, CA 92056 - Start Date:04/20/2022 - 720 Hrs/Mth - 7 Hrs During Trading. 2) 08/20/2025 - Cape Fear Academy - Not Investment Related - Other - Coach - Wilmington, NC - Start Date:09/02/2025 - 40 Hrs/Mth - 0 Hrs During Trading. 3) 10/08/2025- Wlimington Lacrosse Club- Other - Lacrosse Coach- Not INV Related- At Wilmington, NC- Start date 09/19/2025- 6 Hours Per Month 4) 10/08/2025- Saints Lacrosse Club- Other - Lacrosse Coach- Not INV Related- At Castle Hayne, NC- Start date 09/15/2025- 12 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2016-07-21 |
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