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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors | New York | NY | 05/2014 | 12/2017 |
| Guardian Life Insurance Co Of America | Buffalo | NY | 12/2017 | 01/2018 |
| Park Avenue Securities Llc | Buffalo | NY | 12/2017 | 01/2018 |
| Guardian Life Insurance | Syracuse | NY | 01/2018 | 12/2019 |
| Park Avenue Securities | Syracuse | NY | 01/2018 | 12/2019 |
| Cadaret Grant & Co., Inc. | Camillus | NY | 01/2020 | 07/2025 |
| Lpl Financial Llc | Camillus | NY | 07/2025 | Present |
1) 2026-04-24 - Charlee's Ice Cream, Inc. - Outside/W-2 Employment - N - 40 - 3 - Camillus NY - 2026-04-23 - My wife and I co-own Charlee's Ice Cream, a local ice cream shop in Camillus, NY. I help with ordering products and materials, maintenance, hiring, scheduling, and training staff. Charlee's Ice Cream, Inc. will pay me a salary of roughly $35,000 per year moving forward. Most of my tasks are performed in the evenings and on weekends. 2) 2025-07-07 - CNY Quick Quality Decks, LLC - Business Owner - Y - 20 - 0 - Camillus NY - 2025-06-18 - I own 50% of a deck building and repair company. The company offers deck building, modification, repair, and upgrades. 3) 2025-06-17 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Encompass Wealth Management - DBA for LPL Business (entity for LPL business) - Y - 200 - 120 - at reported business location(s) - 2025-05-21 - I offer finacial consulting services, including fee-based planning along with advisory and brokerage accounts. I meet regularly with clients and perform investment-related research. 4) 2025-06-27 - Benjamin Hussong - Non-Variable Insurance - Y - 10 - 10 - at reported business location(s) - 2025-05-21 - I sell life, disability, and long-term care insurance to clients that can benefit from same. 5) 2025-07-07 - Sports Clicks and Politics - Radio/ TV/ Podcast - N - 8 - 8 - Camillus NY - 2025-05-21 - I co-host a weekly podcast called Sports Clicks and Politics. We discuss current sports, current events, interesting topics, and political news. 6) 2025-06-11 - Charlees Ice Cream, Inc. - Business Owner - N - 80 - 0 - Camillus NY - 2025-05-21 - My wife and I own and operate an ice cream parlor in our hometown. We offer ice cream and related frozen treats in a parlor and through a mobile unit.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-18 |
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