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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2025-08-17 |
| TX | RA | APPROVED_RES | 2025-08-15 |
Branch Locations
8180 Rafael Rivera Way Ste 305 Ste 305, Las Vegas, NV 89113 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summerlin Family Wealth, Llc | Las Vegas | NV | 03/2014 | 10/2018 |
| Morgan Stanley Smith Barney Llc | Las Vegas | NV | 11/2018 | 01/2019 |
| Morgan Stanley Smith Barney Llc | Las Vegas | NV | 01/2019 | 08/2025 |
| Morgan Stanley Private Bank, N.A | Las Vegas | NV | 01/2019 | 08/2025 |
| Lpl Financial Llc | Las Vegas | NV | 08/2025 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2019 | Present |
1. 10/06/2025 - East West Legacy Wealth - Business Entity For Tax/Investment Purposes Only - At reported business location(s) - Inv rel - Start date: 09/24/2025 - 100hrs/mnth 30 hrs during Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-21 |
| S65 | Uniform Investment Adviser Law Examination | 2006-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-20 |
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