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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2025-06-18 |
| TX | RA | APPROVED | 2025-06-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Los Angeles Valley Junior College | Valley Glen | CA | 06/2016 | 05/2018 |
| Republic High School | Nashville | TN | 05/2018 | 05/2019 |
| Stem Prep High School | Nashville | TN | 05/2019 | 03/2021 |
| Unemployed | Nashville | TN | 03/2021 | 06/2021 |
| Guardian Life Insurance Company | Brentwood | TN | 06/2021 | 02/2025 |
| Park Avenue Securities | Brentwood | TN | 06/2021 | 02/2025 |
| Lpl Financial Llc | Emmett | ID | 03/2025 | Present |
1) 02/18/2025 - CARTER FAYE INVESTMENT LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Nashville, TN - Start: 02/2023 - 2 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 2023-10-17 |
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