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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-13 |
| CA | RA | APPROVED | 2022-01-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab Bank | Phoenix | AZ | 07/2015 | 02/2019 |
| Charles Schwab & Co., Inc | Phoenix | AZ | 03/2019 | 11/2019 |
| Unemployed | Peoria | AZ | 12/2019 | 07/2021 |
| Lpl Financial Llc | Peoria | AZ | 08/2021 | 11/2021 |
| Lpl Financial, Llc | Peoria | AZ | 01/2022 | Present |
1. 1/21/2022 - PSA&A Corp. - Investment Related - 7645 E. Guadalupe Rd., Mesa AZ 85212 - Other--Owner of C-Corp - Co-Owner - Started 01-01-2020 - 10 Hours Per Month - Coffee shop that is in process of being built - construction to be completed Feb, 2022. Wife will manage.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-16 |
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