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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-11-05
VA RA APPROVED 2025-09-05
  • TX RA
    APPROVED_RES
    Since 2025-11-05
  • VA RA
    APPROVED
    Since 2025-09-05

Branch Locations

607 Lynnhaven Pkwy, Virginia Beach, VA 23452 • United States

607 Lynnhaven Pkwy, Virginia Beach, VA 23452 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Infinex Investments, Inc. Virginia Beach VA 10/2008 09/2025
Monarch Bank Virginia Beach VA 10/2008 09/2025
Virginia Asset Group Virginia Beach VA 10/2008 Present
Lpl Financial Virginia Beach VA 09/2025 Present
  • 10/2008 → 09/2025
    Infinex Investments, Inc.
    Virginia Beach, VA
  • 10/2008 → 09/2025
    Monarch Bank
    Virginia Beach, VA
  • 10/2008 → Present
    Virginia Asset Group
    Virginia Beach, VA
  • 09/2025 → Present
    Lpl Financial
    Virginia Beach, VA
Previous Registrations
Other Businesses

1. 07/2025 - Virginia Insurance Agency Solutions, INC - Non-Variable Insurance - Investment Related - 5 Hour(s)/Month - 1 Hour(s) During Trading - Virginia Beach, VA 23452 - OBA Start Date: 01/01/2009 2. 07/2025 - Virginia Asset Group - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 40 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 9/4/2025 3. 07/2025 - Notary - Notary - Not Investment Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Virginia Beach, VA 23452 - OBA Start Date: 08/05/2024

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-15
  • S66 Uniform Combined State Law Examination
    2008-12-15
Other Names
  • Emily Rose Medley

View on SEC IAPD

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