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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-08-08 |
| TX | RA | APPROVED | 2022-03-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Advocare | Plano | TX | 04/2014 | 02/2019 |
| Usaa Financial Planning Services | San Antonio | TX | 01/2009 | 02/2019 |
| Usaa Financial Advisors, Inc. | San Antonio | TX | 07/2016 | 02/2019 |
| Usaa Investment Management Company | San Antonio | TX | 01/2018 | 02/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 02/2019 | 03/2022 |
| Bank Of America, N.A. | San Antonio | TX | 04/2019 | 03/2022 |
| Lpl Financial Llc | San Antonio | TX | 03/2022 | Present |
1) 3/2022- Genesis Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- San Antonio, TX 2) 3/2022- Juniper Business Services & Solutions- Tax Prep/Accounting/CPA- member for estate planning- inv. related- 507 Chardonnet San Antonio, TX 78232- start date 1/2020- 1hr/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-26 |
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