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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2025-05-16
  • MO RA
    APPROVED
    Since 2025-05-16

Branch Locations

Saint Louis, MO • United States

St. Louis, MO • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
University Of Missouri Columbia MO 02/2015 06/2017
Ibm Columbia MO 06/2017 08/2017
University Of Missouri Columbia MO 08/2017 05/2018
Circle Metal Specialities, Inc. Alsip IL 05/2018 08/2018
University Of Missouri Columbia MO 08/2018 06/2019
The Broadway A Doubletree By Hilton Columbia MO 07/2019 09/2019
Scout & Nimble Columbia MO 06/2019 11/2019
Fresh Ideas Food Service Management Columbia MO 09/2019 05/2020
Unemployed Chicago IL 05/2020 07/2020
Total Quality Logistics Chicago IL 07/2020 03/2021
Tegus Chicago IL 03/2021 06/2023
The Boeing Company Saint Louis MO 06/2023 03/2025
Lpl Financial Saint Louis MO 03/2025 Present
  • 02/2015 → 06/2017
    University Of Missouri
    Columbia, MO
  • 06/2017 → 08/2017
    Ibm
    Columbia, MO
  • 08/2017 → 05/2018
    University Of Missouri
    Columbia, MO
  • 05/2018 → 08/2018
    Circle Metal Specialities, Inc.
    Alsip, IL
  • 08/2018 → 06/2019
    University Of Missouri
    Columbia, MO
  • 07/2019 → 09/2019
    The Broadway A Doubletree By Hilton
    Columbia, MO
  • 06/2019 → 11/2019
    Scout & Nimble
    Columbia, MO
  • 09/2019 → 05/2020
    Fresh Ideas Food Service Management
    Columbia, MO
  • 05/2020 → 07/2020
    Unemployed
    Chicago, IL
  • 07/2020 → 03/2021
    Total Quality Logistics
    Chicago, IL
  • 03/2021 → 06/2023
    Tegus
    Chicago, IL
  • 06/2023 → 03/2025
    The Boeing Company
    Saint Louis, MO
  • 03/2025 → Present
    Lpl Financial
    Saint Louis, MO
Other Businesses

1)04/10/2025 - Hauser Group Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-16
  • S66 Uniform Combined State Law Examination
    2025-05-16

View on SEC IAPD

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