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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 | 2024-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mk Novo Consulting | Edgewater | NJ | 09/2012 | 01/2018 |
| New York Life Insurance Company | Dallas | TX | 05/2018 | 11/2019 |
| Nylife Securities, Llc | Dallas | TX | 09/2018 | 11/2019 |
| Self Employed | Frisco | TX | 02/2018 | 04/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 01/2020 | 08/2024 |
| Bank Of America, N.A. | Frisco | TX | 03/2020 | 08/2024 |
| Lpl Financial, Llc | Frisco | TX | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-20 |
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