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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2025-06-06 |
| NY | RA | APPROVED | 2025-06-03 |
Branch Locations
1550 South Main Street Suite 1, Mansfiled, PA 16933 • United States
110 Village Square, Suite 101,, Painted Post, NY 14870 • United States
202 Denison Pkwy E, Corning, NY 14830 • United States
17 East Avenue, Wellsboro, PA 16901 • United States
11 Steuben St, Addison, NY 14801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Merrimack | NH | 10/2012 | 02/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 04/2019 | 11/2023 |
| Unemployed | Houston | TX | 02/2019 | 04/2019 |
| Morgan Stanley | Geneva | NY | 11/2023 | 05/2025 |
| Lpl Financial Llc | Corning | NY | 06/2025 | Present |
| First Heritage Federal Credit Union | Corning | NY | 06/2025 | Present |
1)5/29/25- First Heritage Financial Services - DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-25 |
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