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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 | 2020-03-05 |
| CA | RA | APPROVED | 2017-11-29 |
| HI | RA | APPROVED | 2017-11-29 |
Branch Locations
1585 Kapiolani Blvd Ste 1604, Honolulu, HI 96814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Honolulu | HI | 02/2009 | 11/2017 |
| Lpl Financial Llc | Honolulu | HI | 11/2017 | Present |
1. 11/29/2017 - GBF Financial Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - INSURANCE AGENT - Started 12/17/2008 - 20 Hours Per Month - Time Spent 5% - Life, Disability, Long Term. 2. 09/26/2022 - Pacific Financial Navigators - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner/Member - Started 01/02/2020 - 20 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-06 |
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