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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2023-08-18 |
| CA | RA | APPROVED | 2018-11-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | San Diego | CA | 07/2014 | 09/2018 |
| Lpl Financial Llc | San Diego | CA | 09/2018 | Present |
| Sequioa Wealth Advisors & Investment Management, Inc. | San Diego | CA | 09/2018 | Present |
1) 09/07/2018 - Business Entity For Tax/Investment Purposes Only - Patrick Allen Lee Consulting, LLC - 0% - NOT INVESTMENT RELATED - SAN DIEGO, CA 92109 2) 09/07/2018 - DBA for LPL Business (entity for LPL business) - Sequoia Wealth Advisors & Investment Management - 100% - INVESTMENT RELATED - At Reported Business Location(s) 3) 10/06/2023 - Patrick Allen Lee Management LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/25/2023 - 160 Hours Per Month/ 125 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-06 |
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