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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_RES | 2020-03-14 |
| CA | RA | APPROVED | 2020-03-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Penates Group Inc. | Pacific Palisades | CA | 06/2005 | 03/2020 |
| Otto Capital Management | Pacific Palisades | CA | 01/2005 | 03/2020 |
| Lpl Financial, Llc | Pacific Palisades | CA | 03/2020 | Present |
1.03/12/2020; rental property; Real Estate Rental; Investment Related; 6900 Princess Dr # 2132 - Phoenix,AZ; Start Date 02/01/2020; 0hrs/mth; 0hrs during trading 2.08/14/2026; JSD Financial Designs - DBA: ECLIPSE REALTY; Mortgage/Real Estate Services; Investment Related; Redondo Beach,CA; Start Date 01/01/2004; 0hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-09-19 |
| S65 | Uniform Investment Adviser Law Examination | 1995-09-12 |
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