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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 |
|---|---|---|---|---|
| Nylife Securities Llc | Frisco | TX | 12/2018 | 01/2020 |
| New York Life Insurance Company | Frisco | TX | 09/2018 | 01/2020 |
| Texas Army National Guard | Richardson | TX | 10/1999 | 02/2022 |
| University Of Texas At Dallas | Richardson | TX | 08/2011 | 12/2016 |
| Command And General Staff College | Fort Leavenworth | TX | 01/2017 | 05/2017 |
| Caruth Police Institute | Dallas | TX | 09/2011 | 01/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 01/2020 | 08/2024 |
| University Of Texas | Dalls | TX | 09/2012 | 01/2017 |
| Bank Of America, N.A. | Frisco | TX | 03/2020 | 08/2024 |
| Lpl Financial, Llc | Allen | TX | 10/2024 | Present |
1) 09 /2024 - Ivan Wong / Author / Author of book - / Non Inv. Related / Allen TX / Starting date 05/01/2023 - 10 Hrs per month - 2) 09/2024 - Collin County College / Professor - Criminology / Non Inv. Related / McKinney, TX / Starting date 09/22/2022 - 12 Hrs per month 3) 02/07/2025- Hok6.com- Teacher Paid by School or University- Not INV Related- At Allen TX- Start date 04/01/2025- 4 Hours Per Month- 4 Hours During Trading 4) 05/27/2025 - Merit Chinese School - Not Investment Related - Teacher Paid by School or University - Plano, TX - Start Date:08/09/2025 - 8 Hours Per Month- 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-13 |
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