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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2026-07-14 |
| TX | RA | APPROVED | 2026-07-14 |
Branch Locations
11910 Greenville Ave, Suite 210 ,, Dallas, TX 75243 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
7787 Sylvan Pl, , Dittmer, MO 63023 • United States
11910 Greenville Ave Suite 210, Dallas, TX 75243 • United States
2745 High Ridge Blvd Suite 5 B, , High Ridge, MO 63049 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America Inc | Dallas | TX | 02/2014 | 01/2023 |
| Securities America Advisors | Dallas | TX | 02/2014 | 01/2023 |
| Ameriprise Financial Services, Llc | Dallas | TX | 01/2023 | 07/2026 |
| Lpl Financial Llc | Dallas | TX | 07/2026 | Present |
1. 07/2026 - RyMac motorsports holdingsllc - Real Estate Rental - Inv Related – 0 Hour(s)/Month – 0 Hour(s) During Trading – High Ridge MO 63049 – OBA Start Date: 01/26/2023 2. 07/2026 - GUARDIAN PRIVATE WELTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 7/13/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-28 |
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