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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-19 |
| CA | RA | APPROVED | 2014-03-04 |
Branch Locations
5015 Birch St, Ste #120, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Newport Beach | CA | 08/2013 | Present |
1. NO BUSINESS NAME - INV REL - 5015 BIRCH ST. STE. #120 NEWPORT BEACH, CA 92660 - NON-VARIABLE INSURANCE - START 09/01/2015 - 5 HOURS PER MONTH, 0 DURING TRADING - WILL USE LPL INSURANCE ASSOCIATES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-02-28 |
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