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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-11-03 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance | Milwaukee | WI | 06/2014 | 10/2025 |
| Northwestern Mutual Investment Services Llc | Baltimore | MD | 06/2014 | 12/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 10/2025 |
| Northwestern Mutual Investment Services Llc | Ft Lauderdale | FL | 01/2019 | 10/2025 |
| Running Wild | Fort Lauderdale | FL | 03/2023 | 05/2023 |
| Lpl Financial Llc | Miami | FL | 10/2025 | Present |
1) 10/2025 - MassMutualBrokerage / Insurance agent / Non-Variable Insurance / Inv Related / Start date 10/16/2025 -40 hrs per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-26 |
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