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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 | 2012-08-10 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Richmond | TX | 07/2012 | Present |
1. 11/5/2014 - SAINT LAURENT WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 11/01/14 - 160 Hours Per Month/120 Hours During Securities Trading. 2. 11/6/2014 - PACIFIC LIFE INSURANCE - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - INSURANCE AGENT - Started 08/28/14 - 5 Hours Per Month/2 Hours During Securities Trading. 3. 7/12/2017 - Imperial Studios, LLC dba Imperial Athletics - Not Investment Related - 2301 Thompson Rd., Suite 105, Richmond, TX 77469 - Other-Business Owner - Started 08/01/2017 - 2 Hours Per Month/1 Hour During Securities Trading. 4. 10/10/2024 - First Financial Resources, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 07/01/2024 - 40 Hours Per Month/20 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-12 |
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