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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 | 2023-05-30 |
Branch Locations
211 N Loop 1604 E, Suite 165, San Antonio, TX 78232 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Professionals Inc | San Antonio | TX | 03/2014 | 08/2018 |
| Ameriprise Financial Services, Inc. | San Antonio | TX | 08/2018 | 07/2019 |
| Sigma Financial Corporation | Ann Arbor | MI | 07/2019 | 05/2023 |
| Spc | Ann Arbor | MI | 07/2019 | 05/2023 |
| Lpl Financial Llc | San Antonio | TX | 05/2023 | Present |
1) 05/30/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2) 07/10/2023 - UPSTREAM INVESTMENT PARTNERS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 5/30/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 100% 3) 12/04/2024 - ROBERT CANTU - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/19/2024 - 40 hours per month/ 2 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-27 |
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