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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2023-10-16 |
| TX | RA | APPROVED | 2023-10-16 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
831 Stonewater Blvd, Franklin, TN 37064 • United States
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 |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 02/2014 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 02/2014 | 10/2023 |
| Lpl Financial Llc | Franklin | TN | 10/2023 | Present |
1) 09/15/2023 - SUMMIT WEALTH STRATEGIES - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 100 Hours per month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-14 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-21 |
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