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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-01-15 |
| MI | RA | APPROVED | 2023-01-11 |
| TX | RA | APPROVED | 2023-01-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2013 | 12/2022 |
| Genisys Credit Union Dba Genisys Investment Services | White Lake | MI | 04/2016 | 12/2022 |
| Lpl Financial Llc | Commerce Twp. | MI | 01/2023 | Present |
1) 1/2023- Lakes Financial Advice- DBA for LPL Business (entity for LPL business)- inv. related- Commerce Twp, MI 2) 09/29/2025- Lithops juntos- INV Related- At Reported Business Location(s)- Start date 10/01/2025- 10 Hours Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2009-07-13 |
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