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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-04-07 |
Branch Locations
8600 E Anderson Dr Ste 240, Scottsdale, AZ 85255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 09/2025 | 02/2026 |
| Vanguard Marketing Corporation | Scottsdale | AZ | 09/2025 | 02/2026 |
| Vonage | Phoenix | AZ | 07/2024 | 09/2025 |
| Darktrace | Scottsdale | AZ | 09/2023 | 07/2024 |
| Harnham | Phoenix | AZ | 09/2021 | 09/2023 |
| Dignity Health | Phoenix | AZ | 09/2020 | 07/2021 |
| Nebraska Medicine | Omaha | NE | 06/2020 | 09/2020 |
| Merck | Omaha | NE | 05/2018 | 05/2019 |
| Food Safety Net Services | Omaha | NE | 04/2016 | 05/2017 |
| Home Instead | Omaha | NE | 09/2013 | 04/2017 |
| University Of Nebraska Omaha | Omaha | NE | 08/2015 | 05/2018 |
| University Of Nebraska Medical Center | Omaha | NE | 05/2019 | 05/2020 |
| Self-Employed | Phoenix | AZ | 07/2021 | 09/2021 |
| Lpl Financial Llc | Scottsdale | AZ | 04/2026 | Present |
1. 4/2026 - SAMPSON CAPITAL ADVISORS - DBA for LPL Business (entity for LPL business) -INV REL - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 4/7/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-10 |
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