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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-02-26 |
| MI | RA | APPROVED | 2023-05-30 |
Branch Locations
Punta Gorda, FL • United States
205 West Grand River, Howell, MI 48843-2238 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
Brighton, MI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Howell | MI | 08/2010 | 10/2018 |
| Sigma Financial Corporation | Ann Arbor | MI | 10/2018 | 05/2023 |
| Spc | Ann Arbor | MI | 10/2018 | 05/2023 |
| Lpl Financial Llc | Howell | MI | 05/2023 | Present |
1) 05/2023 - Fortress Wealth Management / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 06/22/2023 - DSHBC HOLDINGS - Investment Related - Howell, MI - Real Estate Rental - Owner - Start Date 9/20/20110
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-22 |
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