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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
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 |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | Liverpool | NY | 03/2003 | 07/2025 |
| Quest Financial Services | Liverpool | NY | 03/2003 | 07/2025 |
| Lpl Financial Llc | Liverpool | NY | 07/2025 | Present |
1. 07/2025 - Quest Wealth Management - DBA for LPL Business (entity for LPL business) - Liverpool, NY - INV REL - Start Date 08/16/2004 - 200hrs/mth | 20hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-27 |
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