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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-05-04 |
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 |
|---|---|---|---|---|
| Fundx Investment Group Llc | San Francisco | CA | 08/1992 | 03/2022 |
| One Capital Management | West Lake Villsge | CA | 03/2022 | 06/2024 |
| Retired | Davis | CA | 06/2024 | 04/2026 |
| Lpl Financial Llc | Davis | CA | 05/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-25 |
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