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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2026-02-24 |
| CA | RA | APPROVED | 2025-01-17 |
| SD | RA | APPROVED | 2023-08-16 |
| MO | RA | APPROVED | 2023-06-14 |
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Lakeville | MN | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lakeville | MN | 11/2016 | 12/2018 |
| Charles Schwab & Co., Inc. | Edina | MN | 12/2018 | 11/2020 |
| Charles Schwab Premier Bank | Chicago | IL | 12/2018 | 08/2020 |
| Wells Fargo Advisors | Naperville | IL | 04/2018 | 12/2018 |
| Wells Fargo Bank | Phoenix | AZ | 01/2016 | 04/2018 |
| Charles Schwab Bank, Ssb | Edina | MN | 08/2020 | 11/2020 |
| Regions Bank | Clayton | MO | 11/2020 | 08/2021 |
| Cetera Investment Advisers Llc | Clayton | MO | 02/2021 | 08/2021 |
| Cetera Investment Services Llc | St. Cloud | MN | 02/2021 | 08/2021 |
| U.S. Bank | Clayton | MO | 07/2021 | 05/2023 |
| U.S. Bancorp Investments, Inc. | Clayton | MO | 02/2022 | 05/2023 |
| Lpl Financial Llc | St Charles | MO | 05/2023 | Present |
1. 08/03/2023 - 410 E 6th Ave LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Owner - Start Date 12/07/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-30 |
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