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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-02-27 |
| CA | RA | APPROVED | 2016-04-04 |
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Carlsbad | CA | 04/2016 | Present |
1. 4/1/2016 - No Business Name - Investment Related - 2343 Lake Forest Street, Escondido CA 92026 - Real Estate Rental - Landlord - Started 06/01/2007 - 1 Hour Per Month/0 Hours During Securities Trading - TIME SPENT 1% - Receives rent to pay mortgage on Rental Property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-13 |
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