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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 | 2025-09-11 |
Branch Locations
17806 I-10 W Promenade 1 Ste 120, San Antonio, TX 78257 • United States
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 |
|---|---|---|---|---|
| Investment Professionals Inc | San Antonio | TX | 02/2015 | 05/2017 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 05/2017 | 04/2018 |
| Prime Capital Investment Advisors, Llc | Overland Park | KS | 08/2017 | 07/2018 |
| Private Client Services | Louisville | KY | 04/2018 | 07/2018 |
| Unemployed | Boerne | TX | 07/2018 | 07/2024 |
| Allstate Financial Advisors, Llc | San Antonio | TX | 12/2024 | 04/2025 |
| Allstate Financial Services, Llc | San Antonio | TX | 07/2024 | 04/2025 |
| Lawing Financial | Boerne | TX | 05/2017 | 10/2017 |
| Raymond James Financial Services, Inc. | San Antonio | TX | 04/2025 | 08/2025 |
| Raymond James Financial Services Advisors, Inc. | San Antonio | TX | 04/2025 | 08/2025 |
| Security Service Federal Credit Union | San Antonio | TX | 04/2025 | 08/2025 |
| Lpl Financial | San Antonio | TX | 09/2025 | Present |
1) 08/2025 - Genesis Wealth Management / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) 160 hrs per month - 100% time spent
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-25 |
| S65 | Uniform Investment Adviser Law Examination | 2015-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-28 |
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