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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 |
|---|---|---|---|
| OR | RA | APPROVED | 2026-04-03 |
| AZ | RA | APPROVED | 2025-07-28 |
Branch Locations
4949 Meadows Rd Ste 350, Lake Oswego, OR 97035 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Chandler | AZ | 07/2012 | 07/2025 |
| Wells Fargo Clearing Services, Llc | Chandler | AZ | 11/2022 | 07/2025 |
| Lpl Financial Llc | Phoenix | AZ | 07/2025 | Present |
| Bmo Harris Bank | Phoenix | AZ | 07/2025 | Present |
1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Harris Bank - Investment Related - At Reported Business Location(s) - Start Date: 07/2025 2. 07/2025 - BMO Harris Bank - Financial Institution Duty - Investment Related - 160 Hrs/Mth - 40 Hrs During Trading. - Phoenix, AZ 85016 - OBA Start Date: 07/21/2025
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2023-02-02 |
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