Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2023-05-01 |
Branch Locations
4630 N Loop 1604 W #215, San Antonio, TX 78249-1373 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Usaa Investment Management Company | San Antonio | TX | 09/1998 | 10/2016 |
| Usaa Financial Advisors, Inc. | San Antonio | TX | 09/2007 | 06/2019 |
| Usaa Life Insurance Company | San Antonio | TX | 09/2007 | 10/2016 |
| Usaa Financial Planning Services | San Antonio | TX | 10/2016 | 06/2019 |
| Usaa Investment Management Company | San Antonio | TX | 01/2018 | 06/2019 |
| Fidelity National Information Services Inc. | San Antonio | TX | 07/2019 | 12/2019 |
| Victory Capital Management Inc. | San Antonio | TX | 01/2020 | 05/2023 |
| Victory Capital Advisers, Inc. | San Antonio | TX | 01/2020 | 05/2023 |
| Lpl Financial Llc | San Antonio | TX | 05/2023 | Present |
1) 05/2023 - nePara Group Inc. - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start Date 04/24/2023 - 160 Hours Per Month/ 8 Hours During Trading 2) 06/05/2024 - nePara Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/01/2024 - 40 Hours per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-28 |
Reach out to this advisor