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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2023-11-06 |
| TX | RA | APPROVED_RES | 2023-10-30 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pleasanton | CA | 07/2017 | 10/2023 |
| Unemployed | San Ramon | CA | 08/2016 | 07/2017 |
| San Ramon Chamber Of Commerce | San Ramon | CA | 01/2010 | 12/2016 |
| Bank Of America, N.A. | Pleasanton | CA | 10/2017 | 10/2023 |
| Lpl Financial Llc | Bradenton | FL | 10/2023 | Present |
1) 09/11/2023 - KAIZEN 360 PWM - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-29 |
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