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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 | 2023-07-19 |
Branch Locations
1058 'B' St, Hayward, CA 94541 • United States
5755 Christie Ave Ste A, Emeryville, CA 94608 • United States
15075 Farnsworth St, San Leandro, CA 94579 • United States
17833 Hesperian Blvd, San Lorenzo, CA 94580 • United States
1333 N. California Blvd. Suite Sl10, Walnut Creek, CA 94596 • United States
24299 Southland Drive, Hayward, CA 94545 • United States
1601 Washington Ave, San Leandro, CA 94577 • United States
3396 Castro Valley Blvd, Castro Valley, CA 94546 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | Oakland | CA | 11/2014 | 01/2022 |
| Hsbc Securities (Usa) Inc. | Oakland | CA | 12/2014 | 01/2022 |
| Bmo Bank Na | Walnut Creek | CA | 02/2022 | Present |
| Bancwest Investment Services, Inc | Walnut Creek | CA | 02/2022 | 02/2023 |
| Lpl Financial Llc | Hayward | CA | 07/2023 | Present |
1) 04/24/2023 - BMO Bank NA - Investment Related - At Reported Business Locations - Financial Institution Duty - Advisor - Start Date: 07/19/2023 - 160 Hours Per Month/ 9-5 Hours During Trading - Time Spent: 100% 2) 04/24/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-22 |
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