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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-17 |
Branch Locations
1201 Puerta Del Sol #334, San Clemente, CA 92673 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | Tarzana | CA | 09/2019 | 03/2026 |
| Wfgia | Tarzana | CA | 07/2018 | 03/2026 |
| Golds Gym Socal | Los Angeles | CA | 09/2010 | 12/2020 |
| Enterprise Rent-A-Car | Glendale | CA | 11/2019 | 09/2021 |
| Wfg Direct | Tarzana, | CA | 08/2021 | 08/2023 |
| Pacific Medical Inc | Tracy | CA | 10/2021 | 04/2026 |
| Lspn Pro, Llc | Lindon | UT | 05/2022 | 01/2025 |
| The Right Way Foundation | Los Angeles | CA | 01/2024 | 02/2025 |
| Lpl Financial Llc | San Clemente | CA | 04/2026 | Present |
1. 04/2026 - Pacific Medical Inc - Outside/W-2 Employment - Investment Related - 160 Hrs/Mth - 04 Hrs During Trading - Tracy, CA 95304 - OBA Start Date: 09/01/2021 2. 04/2026 - The Broker Group - Non-Variable Insurance - Investment Related - 30 Hrs/Mth - 02 Hrs During Trading - San Clemente, CA 92673 - OBA Start Date: 04/08/2026 3. 04/2026 - Priority Wealth Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 04/17/2026 4. 04/2026 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 04/17/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 2020-01-02 |
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