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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 | 2022-11-14 |
Branch Locations
350 National Blvd Ste 2A, Long Beach, NY 11561 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Star Shine | Flushing | NY | 05/2015 | 09/2018 |
| Lpl Financial, Llc | New York | NY | 08/2016 | 09/2017 |
| Gladstone Institutional Advisory, Llc | Bedminster | NJ | 10/2016 | 09/2017 |
| Fidelity Brokerage Services Llc | Scarsdale | NY | 10/2018 | 10/2022 |
| Lpl Financial Llc | Long Beach | NY | 11/2022 | Present |
1. 11/14/2022 - KEJK LLC DBA StarShine - Not Investment Related - 49 Delaware Ave, Long Beach, NY 11561 - Business Owner - Business Owner - Start Date - 11/01/2012 2. 2/17/2023 - KGW Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 02/15/2023 - 0 Hours Per Month/0 Hours During Securities Trading 3. 06/09/2026 - Fundamentals First Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/02/2026 - 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-11 |
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