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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 |
|---|---|---|---|
| MS | RA | APPROVED | 2025-11-04 |
| SC | RA | APPROVED | 2025-11-04 |
| AZ | RA | APPROVED | 2018-01-09 |
| TX | RA | APPROVED_RES | 2012-04-13 |
Branch Locations
1001 Government Street, Ocean Springs, MS 39564 • United States
11259 Old Hwy 63 S, Lucedale, MS 39452 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Ocean Springs | MS | 01/1998 | Present |
1. INDEPENDENT INSURANCE AGENT SELLING AGREEMENT FOR THE GUARDIAN PRODUCTS 2. 04/22/2009-DBA-THE CORNERSTONE GROUP, LLC. -REAL ESTATE RENTAL-WBB,LLC OWNER OF OFFICE BUILDING WHERE THE CORNERSTONE GROUP, LLC IS LOCATED (1001 GOVERNMENT ST.) THE PARTNERSHIP IS TITLED WBB, LLC. WE LEASE THE BUILDING TO OURSELVES. 3. 02/09/2010 - REAL ESTATE RENTAL, WBB, LLC. 4. 1/29/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public - Started 01/11/2021 - 1 Hour Per Month During Securities Trading - Notary for clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-20 |
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