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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 | 2024-11-06 |
Branch Locations
20333 State Hwy 249 Ste 200, #266, Houston, TX 77070 • 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 |
|---|---|---|---|---|
| Jpmorgan Securities Llc | Houston | TX | 02/2015 | 10/2024 |
| Lpl Financial | Houston | TX | 11/2024 | Present |
| Alliant Credit Union | Houston | TX | 11/2024 | Present |
1- 11/2024 / Alliant Retirement and Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-08 |
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