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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 | 2025-03-31 |
Branch Locations
1430 E Missouri Ave, #B-265, Phoenix, AZ 85014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Villas West Townhomes | Phoenix | AZ | 10/2015 | 05/2017 |
| Urban Shed Concepts | Phoenix | AZ | 05/2017 | 08/2017 |
| Northern Arizona University | Flagstaff | AZ | 08/2017 | 05/2021 |
| Sportsman's Warehouse | Flagstaff | AZ | 11/2019 | 05/2020 |
| Dirty Birdies Sports Bar & Grill | Flagstaff | AZ | 10/2020 | 11/2020 |
| R.F. Capital | Newport Beach | CA | 05/2021 | 10/2021 |
| Standarddao | Newport Beach | CA | 10/2021 | 10/2022 |
| Department Of Economic Security | Phoenix | AZ | 10/2022 | 08/2024 |
| Unemployed | Phoenix | AZ | 08/2024 | 10/2024 |
| Lpl Financial | Phoenix | AZ | 09/2024 | Present |
1 - 01/08/2025 - RB Builders, LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 5 Hours/Month - AZ 85021 - OBA Start Date: 08/19/2024. 2 - 01/08/2025 - Knapp Capital Management - DBA for LPL Business (entity for LPL business) - Inv Related - 176 Hours/Month - 6.30 Hours During Trading - At reported business location(s). Start date: 09/30/2024 3. 07/24/2025 - Lion Street - At reported business location(s). - Non-Variable Insurance - inv Rel - Start date: 07/23/2025 - 2hr/mnth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-03-29 |
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