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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 | 2026-06-16 |
Branch Locations
1717 West Loop South, 11Th Fl, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Houston | TX | 06/2016 | 03/2019 |
| Sovereign Wealth Advisors Llc | Houston | TX | 08/2016 | 03/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 03/2019 | 05/2026 |
| Bank Of America, N.A. | Houston | TX | 05/2019 | 05/2026 |
| Lpl Financial | Houston | TX | 06/2026 | Present |
| Zions First National Bank /Zb. Za Zions | Houston | TX | 06/2026 | Present |
1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name Amegy Wealth Advisors - Inv Rel - At Reported Business Location (s) - Start Date : 06/2026 2. Investment products and services are offered through LPL Financial LLC using the DBA/trade name Zion Wealth Advisors - Inv Rel - At Reported Business Location (s) : 06/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-11 |
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