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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-03
  • TX RA
    APPROVED
    Since 2025-12-03

Branch Locations

2821 West 7Th Street Ste450, Ft. Worth, TX 76107 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

2821 West 7Th Street Ste450, Fort Worth, TX 76126 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bbva Securities Inc. Fort Worth TX 10/2014 06/2018
Compass Bank Birmingham AL 08/2014 06/2018
Bbva Wealth Solutions Inc. Fort Worth TX 08/2015 06/2018
Bbva Compass Insurance Agency, Inc. Austin TX 03/2016 06/2018
Raymond James Financial Services, Inc. Fort Worth TX 07/2018 01/2022
Raymond James Financial Services Advisors Inc. Fort Worth TX 07/2018 01/2022
Ameriprise Financial Services, Llc Ft. Worth TX 02/2022 08/2025
Southside Bank Fort Worth TX 06/2018 01/2022
Southside Investment Services Fort Worth TX 10/2020 01/2022
First Horizon Bank Fort Worth TX 08/2025 Present
Lpl Financial Llc Ft. Worth TX 12/2025 Present
  • 10/2014 → 06/2018
    Bbva Securities Inc.
    Fort Worth, TX
  • 08/2014 → 06/2018
    Compass Bank
    Birmingham, AL
  • 08/2015 → 06/2018
    Bbva Wealth Solutions Inc.
    Fort Worth, TX
  • 03/2016 → 06/2018
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 07/2018 → 01/2022
    Raymond James Financial Services, Inc.
    Fort Worth, TX
  • 07/2018 → 01/2022
    Fort Worth, TX
  • 02/2022 → 08/2025
    Ft. Worth, TX
  • 06/2018 → 01/2022
    Southside Bank
    Fort Worth, TX
  • 10/2020 → 01/2022
    Southside Investment Services
    Fort Worth, TX
  • 08/2025 → Present
    First Horizon Bank
    Fort Worth, TX
  • 12/2025 → Present
    Ft. Worth, TX
Previous Registrations
Other Businesses

1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Investment Related - At Reported Business Location(s) - Start Date: 11/2025

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-24
  • S66 Uniform Combined State Law Examination
    2015-08-24
Other Names
  • Gilbert Little
  • Gilbert Vernon Little
  • Gilbert V Little

View on SEC IAPD

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