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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2026-08-31 |
| TX | RA | APPROVED | 2026-08-31 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
1201 Main Street, Suite 1100, Columbia, SC 29201 • United States
12555 Manchester Rd, St. Louis, MO 63131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-14 |
| SC | RA | APPROVED | 2016-04-22 |
Branch Locations
1201 Main St Suite 1460, Columbia, SC 29201-3200 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 11/2015 | 08/2026 |
| Lpl Financial | Columbia | SC | 08/2026 | Present |
1. 08/2026 - Williams Capital Management - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 8/31/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-26 |
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