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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2025-02-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securian Financial Services | Saint Paul | MN | 01/2023 | 08/2023 |
| Minnesota Life Insurance Company | Saint Paul | MN | 01/2023 | 08/2023 |
| Financial Design Group | Oswego | IL | 01/2023 | 03/2023 |
| Unemployed | Elburn | IL | 05/2020 | 12/2021 |
| Wheaton College | Wheaton | IL | 08/2015 | 05/2020 |
| Walker Process Equipment | Aurora | IL | 05/2019 | 05/2020 |
| Wheaton College | Wheaton | IL | 05/2018 | 09/2018 |
| Gnc | St. Charles | IL | 10/2016 | 04/2017 |
| Instacart | San Francisco | CA | 01/2022 | 12/2024 |
| Securian Advisors Of Mid America | Tulsa | OK | 03/2023 | 08/2023 |
| Cetera Advisor Networks Llc | Oswego | IL | 08/2023 | 02/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2023 | 02/2025 |
| Lpl Financial Llc | Oak Brook | IL | 02/2025 | Present |
1)02/12/2025 - TriWealth Partners LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-05-15 |
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