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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 |
|---|---|---|---|
| OR | RA | APPROVED | 2026-03-13 |
| TX | RA | APPROVED | 2026-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Portland | OR | 08/2015 | 08/2019 |
| Charles Schwab Bank | Portland | OR | 08/2015 | 08/2019 |
| Jp Morgan Securities, Llc | Portland | OR | 09/2019 | 03/2022 |
| Jp Morgan Chase Bank, N.A. | Portland | OR | 09/2019 | 03/2022 |
| Fidelity Investments | Tigard | OR | 03/2022 | 05/2023 |
| Charles Schwab & Co., Inc. | Eugene | OR | 05/2023 | 12/2023 |
| Charles Schwab Bank, Ssb | Eugene | OR | 05/2023 | 12/2023 |
| U.S. Bancorp Investments, Inc. | Bend | OR | 12/2023 | 02/2026 |
| U.S. Bancorp Advisors, Llc | Bend | OR | 02/2026 | 03/2026 |
| Lpl Financial | Bend | OR | 03/2026 | Present |
1- 03/2026 - Watts Capital Management - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported Business Location (s) - Start Date 3/23/2026 2- 03/2026 - Happy Trails Ministry- Business Owner - Not Inv Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Bend, OR - Start Date 07/01/2025 3- 04/28/2026 - Watts International LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - Bend, OR - Start Date 05/01/2026 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-24 |
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