Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2024-10-02 |
Branch Locations
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 Advisors, Llc | Brea | CA | 09/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Brea | CA | 11/2016 | 12/2017 |
| Citigroup | Santa Monica | CA | 12/2017 | 10/2024 |
| Self Employed - Catering | Chino Hills | CA | 06/2015 | 10/2024 |
| Lpl Financial Llc | Orange | CA | 09/2024 | Present |
1- 09/2024 / Jaguar Capital / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2- 09/2024 / Jaguar Capital Management / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 2010-05-14 |
Reach out to this advisor