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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2025-01-14 |
| TX | RA | APPROVED | 2025-01-13 |
Branch Locations
12735 Morris Road,Building 200 Suite 325, Alpharetta, GA 30004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Redwood Wealth Management, Llc | Alpharetta | GA | 03/2015 | 01/2025 |
| Kestra Investment Services, Llc | Johns Creek | GA | 07/2019 | 01/2025 |
| Kestra Advisory Services, Llc | Johns Creek | GA | 01/2019 | 01/2025 |
| Lpl Financial Llc | Alpharetta | GA | 01/2025 | Present |
1) 11/11/2024 - John's Creek Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 02/24/2025 - Strategic Financial Partners DBA: John's Creek Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2002 - 160 hours per month/ 7 hours during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-02-28 |
| S66 | Uniform Combined State Law Examination | 2006-06-26 |
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