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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 | 2023-04-03 |
| CA | RA | APPROVED | 2008-12-01 |
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 | San Francisco | CA | 11/2008 | Present |
1. 11/28/2008 - DBA ONLY - RAROQUE WEALTH MANAGEMENT - TIME SPENT 5% - SAN FRANCISCO, CA. 2. 9/6/2012 - NON-VARIABLE INSURANCE - RAROQUE WEALTH MANAGEMENT - TITLE, DUTIES AND AUTHORITY IS THAT OF THE WRITING INSURANCE AGENT. - TIME SPENT 5% - SAN FRANCISCO, CA
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-02-26 |
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