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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 |
|---|---|---|---|
| HI | RA | APPROVED | 2025-05-05 |
Branch Locations
1585 Kapiolani Blvd Ste 1188, Honolulu, HI 96814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Llc | Honolulu | HI | 01/2023 | 04/2025 |
| Bank Of Hawaii | Honolulu | HI | 07/2022 | 12/2023 |
| Unemployed | Honolulu | HI | 05/2022 | 07/2022 |
| State Of Hawaii | Honolulu | HI | 01/2022 | 05/2022 |
| Hiro's Dental Studio Llc | Honolulu | HI | 06/2021 | 12/2021 |
| Yale Divinity School | New Haven | CT | 08/2020 | 05/2021 |
| Inter-University Center For Japanese Language Studies | Yokohama | 08/2019 | 08/2020 | |
| Yale Divinity School | New Haven | CT | 08/2018 | 08/2019 |
| Unemployed | Honolulu | HI | 06/2018 | 08/2018 |
| Tenrikyo Mission Headquarters In America & Canada | Los Angeles | CA | 12/2017 | 06/2018 |
| Unemployed | Honolulu | HI | 06/2017 | 12/2017 |
| Harvard College | Cambridge | MA | 08/2013 | 05/2017 |
| Lpl Financial Llc | Honolulu | HI | 05/2025 | Present |
1) 05/05/2025 - Sean Kauhini Music - Business Owner / Publishing and promoting music compositions written by me, Sean Kauhini- Non Inv. Related- Honolulu, HI, 96815 - start date 01/01/2025 - 10hrs per mth/ 0 during trading. 2) 05/05/2025 - Cathedral of St Andrew - Outside Employment / Part-time employee - Choir member -Non_inv. Related- Honolulu, HI, 96813 - Start date 02/15/2024 - 24hrs per mth/ 0 during trading 3. 09/09/2025 - The Queen's Singers - Outside/W-2 Employment - Honolulu, HI - Not INv Rel - Start date: 09/01/2025 - 2hrs per mth/ 0 during trading. 4) 10/21/2025 - Anton Financial - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:05/05/2025 - 160 Hrs/Mth - 8 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-28 |
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