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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2025-07-24 |
| NC | RA | APPROVED | 2025-07-17 |
Branch Locations
1055 Lpl Way, Fort Mill, SC 29715 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 06/2022 | 10/2023 |
| Tiaa | Charlotte | NC | 06/2022 | 10/2023 |
| J.P Morgan Chase & Co | Charlotte | NC | 09/2021 | 05/2022 |
| Unemployed | Charlotte | NC | 08/2021 | 09/2021 |
| Tiaa | Charlotte | NC | 06/2021 | 08/2021 |
| Unemployed | Charlotte | NC | 01/2021 | 06/2021 |
| Ups | Charlotte | NC | 11/2019 | 01/2021 |
| Lowes | Charlotte | NC | 10/2019 | 11/2019 |
| Unc Charlotte | Charlotte | NC | 08/2018 | 05/2022 |
| Central Piedmont Community College | Charlotte | NC | 08/2017 | 07/2018 |
| West Mecklenburg High School | Charlotte | NC | 08/2015 | 06/2017 |
| Grade Potential | Charlotte | NC | 09/2019 | 07/2022 |
| Amazon | Charlotte | NC | 10/2017 | 05/2021 |
| Carowinds/Cedar Fair | Charlotte | NC | 09/2014 | 10/2016 |
| Us Department Of Homeland Security | Charlotte | NC | 05/2018 | 10/2018 |
| Fedex Ground | Charlotte | NC | 10/2019 | 10/2019 |
| Genesco Inc. | Charlotte | NC | 12/2016 | 01/2017 |
| Hat World, Inc. D/B/A Lids | Charlotte | NC | 12/2016 | 01/2017 |
| Tiaa | Charlotte | NC | 01/2025 | 07/2025 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 01/2025 | 07/2025 |
| Nuveen | Charlotte | NC | 10/2023 | 01/2025 |
| Lpl Financial Llc (Org Id: 6413) | Fort Mill | SC | 07/2025 | Present |
1) 06/27/2025 - No Business Name - Not Investment Related - Mecklenburg County, NC - Notary - Start Date 04/19/2022 - Hours Per Month/ During Trading 2) 06/27/2025 - FedEX - Not Investment Related - Charlotte NC 20214 - Part-time Freight Handler at FedEx - 04/07/2025 - 100 Hours Per Month / 0 Hours Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-08-26 |
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