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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-03
  • TX RA
    APPROVED
    Since 2023-05-03

Branch Locations

3201 Dallas Pkwy Ste 710, Frisco, TX 75034-9596 • United States

3201 Dallas Pkwy Ste 710, Frisco, TX 75034-9596 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Full Time Student Frisco TX 01/2012 05/2020
Brennan Wealth Advisors Frisco TX 11/2020 Present
Unemployed Frisco TX 05/2020 10/2020
Fsc Securities Corporation Frisco TX 01/2022 05/2023
Brennan Wealth Advisors, Llc Frisco TX 08/2022 05/2023
Salem Media Group Irving TX 08/2022 Present
Lpl Financial Llc Frisco TX 05/2023 Present
  • 01/2012 → 05/2020
    Full Time Student
    Frisco, TX
  • 11/2020 → Present
    Brennan Wealth Advisors
    Frisco, TX
  • 05/2020 → 10/2020
    Unemployed
    Frisco, TX
  • 01/2022 → 05/2023
    Fsc Securities Corporation
    Frisco, TX
  • 08/2022 → 05/2023
    Brennan Wealth Advisors, Llc
    Frisco, TX
  • 08/2022 → Present
    Salem Media Group
    Irving, TX
  • 05/2023 → Present
    Frisco, TX
Previous Registrations
  • 2022-09-14 → 2023-08-22
    Brennan Wealth Advisors, Llc
    Frisco, TX
  • 2022-07-05 → 2022-10-06
    Fsc Securities Corporation
    Frisco, TX
Other Businesses

1) 4/2023 - Cameron Hall / Notary / Investment Related / Frisco TX - Start date 12/28/2022 - 1 Hrs per month 2) 4/2023 - Brennan Wealth Advisors / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-01
  • S66 Uniform Combined State Law Examination
    2022-07-01

View on SEC IAPD

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