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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 | 2025-05-15 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuso Financial Services, Lp | San Diego | CA | 07/2013 | 05/2025 |
| University Federal Credit Union | Austin | TX | 06/2011 | Present |
| Lpl Financial Llc | Austin | TX | 05/2025 | Present |
1- 05/15/2025 - UFCU Investment Services - DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 06/20/2011 - 40 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-10 |
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