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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 | 2023-09-05 |
Branch Locations
Loxahatchee, FL • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | West Palm Beach | FL | 03/2017 | 03/2019 |
| Coldwel Banker | Palm Beach Gardens | FL | 01/2013 | 03/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palm Beach | FL | 03/2019 | 05/2023 |
| Nrt | Palm Beach | FL | 07/2015 | 04/2017 |
| Bank Of America, N.A. | Palm Beach | FL | 04/2019 | 05/2023 |
| Lpl Financial | Loxahatchee | FL | 09/2023 | Present |
| Unemployed | Loxahatchee | FL | 05/2023 | 09/2023 |
1) 8/21/2023- Gordon & Associates Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s) 2) 8/21/2023 - Financial Advocacy Network - DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-16 |
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