Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| IL | RA | APPROVED | 2023-08-07 |
| TX | RA | APPROVED | 2023-08-07 |
Branch Locations
7702 East Doubletree Ranch Rd Suite 300, Scottsdale, AZ 85258 • United States
6909 E Greenway Pkwy Ste 295, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual Of Omaha Investor Services | Phoenix | AZ | 06/2016 | 12/2016 |
| Mutual Of Omaha Insurance Company | Phoenix | AZ | 06/2016 | 12/2016 |
| Unemployed | Scottsdale | AZ | 01/2017 | 04/2017 |
| Oneamerica Securities | Scottsdale | AZ | 05/2017 | 12/2017 |
| American United Life | Scottsdale | AZ | 05/2017 | 12/2017 |
| Valic Financial Advisors, Inc. | Scottsdale | AZ | 12/2017 | 08/2023 |
| Agia | Houston | TX | 12/2022 | Present |
| Lpl Financial Llc | Scottsdale | AZ | 08/2023 | Present |
1) 06/27/2023 - BW Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 07/22/2024 - SCB1 consulting - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 08/08/2023 - 1 Hour Per Month/ 0 Hours During Trading 3) 09/12/2025- BW Tax Stratgies- Tax Prep/Accounting/CPA- INV Related- At Reported Business Location(s) -Start date 10/01/2025- 20 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-20 |
Reach out to this advisor