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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-05-05 |
Branch Locations
331 Newman Springs Rd Bldg 1 Ste 143 4Th Fl Ofc 112, Red Bank, NJ 07701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Icc | Lynnfield | MA | 09/2005 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | 05/2023 |
| Brokerage Professionals Ii, Inc | Red Bank | NJ | 12/2004 | Present |
| Wef Brokerage Specialists, Llc | Red Bank | NJ | 01/2006 | Present |
| Lpl Financial | Red Bank | NJ | 05/2023 | Present |
1) 03/2023 - WEF Brokerage Specialists, LLC - P&C Insurance Agency - Inv Rel - part owner- At Reported Business Location(s) - Start: 11/2006 - 10 Hr/Mth 2) 03/2023 - Brokerage Professionals II, Inc -Non-Variable Insurance - Agent selling Title Ins., P&C Insurance, Medicare Supplement, fixed annuities, long Term care, Health Ins.- Inv Rel - At Reported Business Location(s) - Start: 06/2004 - 8 Hr/Mth 3) 03/2023 - Brokerage Professionals - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 12/2004 4) 01/30/2026 - GJB National Builders, LLC - Business Entity For Tax/Investment Purposes Only - Home Based - Start Date 01/08/2026 - 1 hour per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-03-02 |
| S65 | Uniform Investment Adviser Law Examination | 2006-01-02 |
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