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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 | 2025-06-05 |
| WA | RA | APPROVED | 2025-06-05 |
Branch Locations
2555 Townsgate Rd Ste 300, Westlake Village, CA 91361 • United States
Somis, CA • United States
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 |
|---|---|---|---|---|
| Western International Securities, Inc. | Pasadena | CA | 11/2011 | 06/2025 |
| Lpl Financial Llc | Westlake Village | CA | 06/2025 | Present |
1- 06/05/2025 - CAMARILLO PONY BASEBALL ASSOCIATION - Non-Profit Board Member - President - Not Investment Related - Camarillo, CA - Start Date 06/10/2023 - 20 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-19 |
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