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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2025-05-01 |
| KY | RA | APPROVED | 2025-05-01 |
| NY | RA | APPROVED | 2025-05-01 |
| NC | RA | APPROVED | 2025-05-01 |
| SD | RA | APPROVED | 2025-05-01 |
| TX | RA | APPROVED | 2025-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Salisbury | NC | 05/1999 | 01/2019 |
| Scf Securities, Inc | Fresno | CA | 01/2019 | 05/2025 |
| Scf Investment Advisors, Inc. | Fresno | CA | 01/2019 | 05/2025 |
| Lpl Financial Llc | Salisbury | NC | 05/2025 | Present |
1- 05/2025 - Johnson Advisory- DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/02/2025 - 160 hours per month/ 80 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-11 |
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