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CRD 7343009
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 |
|---|---|---|---|
| WA | RA | APPROVED | 2025-04-03 |
Branch Locations
634 6Th St, Umatilla, OR 97882 • United States
204 N Main St, Boardman, OR 97818 • United States
100 S Main St, Stanfield, OR 97875 • United States
101 E Main St, Hermiston, OR 97838 • United States
5920 W Clearwater Ave, Kennewick, WA 99336 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1115 Meade Ave, Prosser, WA 99350 • United States
447 Basin St Sw, Ephrata, WA 98823 • United States
255 Rock Island Rd E, Wenatchee, WA 98802 • United States
598 North Park Dr, Selah, WA 98942 • United States
501 N Mission St, Wenatchee, WA 98801 • United States
1010 Yakima Valley Hwy, Sunnyside, WA 98944 • United States
322 S Division St, Moses Lake, WA 98837 • United States
4104 Terrace Heights Dr, Yakima, WA 98901 • United States
3945 W Court St, Pasco, WA 99301 • United States
1221 Jadwin Ave, Richland, WA 99352 • United States
505 Summitview Ave, Yakima, WA 98908 • United States
203 W 1St Ave, Kennewick, WA 99336 • United States
502 W Yakima Ave, Yakima, WA 98902 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities Llc | Spokane | WA | 11/2021 | 04/2022 |
| Jcpenney | Peoria | IL | 04/2015 | 05/2017 |
| Cit Trucks | Normal | IL | 05/2017 | 05/2019 |
| Bath And Body Works | Richland | WA | 10/2017 | 02/2020 |
| Solgen Power | Pasco | WA | 02/2020 | 02/2021 |
| New York Life Insurance Co | Kennewick | WA | 03/2021 | 04/2022 |
| Northwestern Mutual Investment Services Llc | Kennewick | WA | 04/2022 | 12/2024 |
| Mario Martinez | Kennewick | WA | 04/2022 | 12/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 07/2022 | 12/2024 |
| Douglas Hewson Lupton | Kennewick | WA | 08/2023 | 12/2024 |
| Mark W Lupton | Kennewick | WA | 09/2023 | 12/2024 |
| Lpl Financial | Kennewick | WA | 01/2025 | Present |
| Banner Bank | Kennewick | WA | 01/2025 | Present |
1- 12/2024 / Banner Wealth and Investment Services / Investment products and services are offered through LPL Financial LLC using the DBA/trade name Banner Wealth and Investment Services / INV RLTD
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 2022-03-25 |
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