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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2026-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Villanova University | Villanova | PA | 08/2016 | 05/2017 |
| Northern Kentucky Univesity | Highland Heights | KY | 07/2017 | 05/2019 |
| Fsc Securities Corporation | Coldwater | OH | 05/2019 | 11/2023 |
| Osaic Wealth, Inc. | Coldwater | OH | 11/2023 | 07/2024 |
| Lpl Financial Llc | Coldwater | OH | 07/2024 | Present |
1) 06/20/2024 - Independent Capital Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 06/20/2024 - Wilker Drone Services, LLC - Business Owner - Owner/drone photography - OH 45869 - Non investment related - 5 Hours per month - Start date: 09/05/2022.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-06-09 |
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