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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-21 |
Branch Locations
32341 Golden Lantern, Laguna Niguel, CA 92677 • United States
2300 Harbor Blvd, Suite A-1, Costa Mesa, CA 92627 • United States
23982 Alicia Parkway, Mission Viejo, CA 92691 • United States
Rancho Santa Margarita, CA • United States
27280 Alicia Parkway A, Laguna Niguel, CA 92677 • United States
4971 Lakeview Avenue, Yorba Linda, CA 92886 • United States
12980 Carmel Country Rd, San Diego, CA 92130 • United States
625 College Boulevard, Oceanside, CA 92057 • United States
7630 Via Campanile Suite 138, Carlsbad, CA 92009 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Bank Na | Orange | CA | 07/2014 | 08/2023 |
| Wells Fargo Advisors Llc | Orange | CA | 07/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Orange | CA | 11/2016 | 08/2023 |
| Lpl Financial Llc | Laguna Niguel | CA | 08/2023 | Present |
| San Diego County C U | Laguna Niguel | CA | 08/2023 | Present |
1) 08/10/2023 - SDCCU Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-08 |
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