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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-10-08 |
| FL | RA | APPROVED | 2025-09-29 |
| CA | RA | APPROVED | 2025-09-10 |
| PA | RA | APPROVED | 2025-09-09 |
| NY | RA | APPROVED | 2025-09-08 |
| TX | RA | APPROVED_RES | 2025-09-08 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | New York | NY | 05/2008 | 04/2024 |
| Charles Schwab Bank | New York City | NY | 05/2008 | 04/2024 |
| Lpl Enterprise, Llc | Melville | NY | 03/2025 | 05/2025 |
| Unemployed | Old Bethpage | NJ | 04/2024 | 03/2025 |
| Raymond James Financial Services, Inc. | Smithtown | NY | 05/2025 | 08/2025 |
| Raymond James Financial Services Advisors, Inc. | Smithtown | NY | 05/2025 | 08/2025 |
| Hendel Wealth Management Group | Smithtown | NY | 05/2025 | 08/2025 |
| Lpl Fiancial Llc | New York | NY | 09/2025 | Present |
| Peapack Private Bank & Trust | New York | NY | 09/2025 | Present |
1- 08/2025 / Investment products and services are offered through LPL Financial LLC using the DBA/trade name Peapack Financial Services / Investment Related / At reported business locations
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-20 |
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