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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 |
|---|---|---|---|
| OK | RA | APPROVED | 2026-03-23 |
| TX | RA | APPROVED_RES | 2026-02-03 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • 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 |
|---|---|---|---|---|
| Fidelity Investments | Albuquerque | NM | 07/2015 | 01/2017 |
| Cloak Advisors | Albuquerque | NM | 01/2017 | 06/2017 |
| Los Alamos National Bank | Albuquerque | NM | 07/2017 | 07/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 06/2017 | 07/2019 |
| Cetera Investment Advisers Llc | Albuquerque | NM | 06/2017 | 07/2019 |
| Creative Financial Strategies, Llc | Albuquerque | NM | 07/2019 | 02/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oklahoma City | OK | 04/2023 | 02/2026 |
| Bank Of America, N.A. | Oklahoma City | OK | 05/2023 | 02/2026 |
| Lpl Financial Llc | Edmond | OK | 02/2026 | Present |
1) 2026-02-02 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - ForthRight Financial - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2025-11-25 - 160hrs/mth - 160hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-13 |
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