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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2021-01-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Douglas Dawson | Houston | TX | 10/2011 | 01/2021 |
| Douglas Dawson | Houston | TX | 12/2011 | 01/2021 |
| Northwestern Mutual Investment Services, Llc | Houston | TX | 12/2011 | 01/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2015 | 01/2021 |
| Lpl Financial, Llc | Houston | TX | 01/2021 | Present |
1)08/2016 - BUSINESS OWNER - SONORA OUTFITTERS, LLC - 0HRS/MO 0HRS DURING TRADING - NOT INVESTMENT RELATED - HOUSTON, TX 77055 2)01/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - WALLSTREET TEXAS - INVESTMENT RELATED - HOUSTON, TX 77024 3) 2/25/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Licensed Agent - Started 01/21/2021 - 5 Hours Per Month During Securities Trading. 4) 10/26/2021 - CJTR, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date: 08/01/2021 - 40 Hours Per Month/10 Hours During Securities Trading. 5) 05/12/2025 - Fell & Co. Wealth Management - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date - 03/01/2025 - 0 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-05-04 |
| S65 | Uniform Investment Adviser Law Examination | 2004-12-02 |
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