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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 | 2026-08-28 |
| NV | RA | APPROVED | 2018-06-15 |
Branch Locations
7465 W Lake Mead Blvd Ste 100, Las Vegas, NV 89128 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Henderson | NV | 11/2013 | 05/2018 |
| Lpl Financial Llc | Las Vegas | NV | 05/2018 | Present |
1. 5/29/2018 - Pierce Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/29/2018 - 200 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-03-20 |
| S65 | Uniform Investment Adviser Law Examination | 1996-03-20 |
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