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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 | 2025-01-01 |
Branch Locations
3738 Bayer Ave Ste 205, Long Beach, CA 90808 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Long Beach | CA | 05/2009 | 10/2018 |
| Lpl Financial, Llc | Long Beach | CA | 10/2018 | Present |
1) 1/2002 - DBA for LPL Business (entity for LPL business) - Mountain-Bishop Private Wealth Management - 100% - INVESTMENT RELATED - LONG BEACH, CA 90808 2) 1/2003 - Business Entity For Tax/Investment Purposes Only - Mountain Bishop and Associates - 1% - INVESTMENT RELATED - LONG BEACH, CA 90808 3) 10/2017 - Bayer Ave LLC - 1% - INVESTMENT RELATED - LONG BEACH, CA 90808 4) 9/2/2020 - Mountain Bishop Online Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/10/2020 - 8 Hours Per Month During Securities Trading. 5) 06/10/2026 - Lake Pines & Snow Mountain Retreat LLC - Real Estate Rental - Investment Related - Big Bear Lake, CA - Start Date 01/19/2026 - 16 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-27 |
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