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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 | 2021-07-15 |
| SC | RA | APPROVED | 2021-07-15 |
| TX | RA | APPROVED | 2021-07-15 |
Branch Locations
8037 Corporate Center Dr #300, Charlotte, NC 28226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Advisors, Llc | New York | NY | 08/2020 | 06/2021 |
| Chicken Salad Chick | Columbus | GA | 12/2016 | 02/2017 |
| Davidson College | Davidson | NC | 05/2018 | 05/2020 |
| Chicken Salad Chick | Charlotte | NC | 05/2018 | 08/2018 |
| Alternative Health Distributions | Mooresville | NC | 06/2020 | 07/2020 |
| Davidson College | Davidson | NC | 08/2016 | 05/2020 |
| Lpl Financial Llc | Charlotte | NC | 07/2021 | Present |
1) 05/20/2025 - Focused Wealth LLC - Inv. Related - At reported business locations - DBA for LPL Business (entity for LPL business) - Start Date:05/01/2025 - 0 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-24 |
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