Best Investors
Account
Sign in
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 | 2026-04-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hardy Hydro Solutions | Phoenix | AZ | 01/2023 | 10/2025 |
| Clear Health Strategies | Phoenix | AZ | 04/2022 | 03/2023 |
| Rosati's Pizza | Phoenix | AZ | 04/2021 | 04/2022 |
| Amazon | Troutdale | OR | 01/2021 | 04/2021 |
| Black Rock Coffee Bar | Gresham | OR | 04/2018 | 06/2021 |
| Olive Garden | Gresham | OR | 08/2017 | 04/2018 |
| Regal Cinemas | Gresham | OR | 06/2016 | 08/2017 |
| Unemployed | Scottsdale | AZ | 10/2025 | 01/2026 |
| Alpha Rising Wealth Management | Tempe | AZ | 01/2026 | Present |
| Lpl Financial | Tempe | AZ | 01/2026 | Present |
1. 02/2026 - Alpha Rising Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 02/06/2026 2. 02/2026 - Hardy Hydro Solutions - Business Owner - 0 Hrs/Mth - 0 Hrs During Trading - Phoenix, AZ 85050 - OBA Start Date: 01/02/2023
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-31 |
Reach out to this advisor