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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2021-02-11 |
| TX | RA | APPROVED | 2021-02-11 |
Branch Locations
San Marcos, TX • United States
319 E. Carrillo St Ste 102, Santa Barbara, CA 93101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Santa Barbara | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 11/2016 | 02/2021 |
| Lpl Financial, Llc | Santa Barbara | CA | 02/2021 | Present |
1. 2/2021 - DBA for LPL Business (entity for LPL business) - CVG Wealth Management - Investment Related - Santa Barbara, CA 93101 2. 03/02/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Notary Public - Notary - Start Date - 07/01/2021 - 1 Hours Per Month/1 Hours During Securities Trading. 3. 08/30/2022 - Kathryn Mathis - Not Investment Related - Home Based - Other - Self Publishing Author - self publishing author - Start Date - 07/11/2022 - 10 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-01 |
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