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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2026-03-05 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Baruch College | New York City | NY | 09/2024 | Present |
| Unemployed | Deal | NJ | 06/2024 | 08/2024 |
| Yeshivah Torat Shraga | Jerusalem | 09/2023 | 06/2024 | |
| New York Accessory Group- I. Shalom | New York City | NY | 06/2023 | 08/2023 |
| Yeshuvah Of Flatbush High School | Brooklyn | NY | 09/2019 | 06/2023 |
| Vics Ultimate Sports Camp | Deal | NJ | 06/2022 | 08/2022 |
| Vics Ultimate Sports Camp | Deal | NJ | 06/2021 | 08/2021 |
| Magen David Yeshuvah Elementary School | Brooklyn | NY | 09/2010 | 06/2019 |
| Lpl Financial | Brooklyn | NY | 03/2025 | Present |
1. 11/2025 - Alpha Financial Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 12/04/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-04 |
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