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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
Branch Locations
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 |
|---|---|---|---|---|
| Tiaa-Cref | Syracuse | NY | 09/2013 | 11/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Syracuse | NY | 08/2013 | 11/2020 |
| S.E.E.D. Planning Group, Llc | Binghamton | NY | 02/2021 | 12/2022 |
| S.E.E.D. Planning Group, Llc | North Syracuse | NY | 02/2021 | 12/2022 |
| Cadaret Grant & Co., Inc. | Liverpool | NY | 01/2023 | 07/2025 |
| Lpl Financial Llc | Liverpool | NY | 07/2025 | Present |
1. 07/10/2025- Quest Wealth Management-DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 02/01/2023- 160 Hours Per Month- 160 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-02 |
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