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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 | 2024-09-19 |
| TX | RA | APPROVED | 2024-09-19 |
Branch Locations
300 Pacific Heights Dr, Santa Rosa, CA 95403 • United States
3033 Cleveland Ave. Ste. 100, Santa Rosa, CA 95403 • 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 |
|---|---|---|---|---|
| Redwood Credit Union | Santa Rosa | CA | 02/2001 | Present |
| Cuso Financial Services, L.P. | San Diego | CA | 02/2001 | 09/2024 |
| Lpl Financial Llc | Santa Rosa | CA | 09/2024 | Present |
1) 08/15/2024-Redwood Wealth Management-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-09 |
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