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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadaret, Grant & Co., Inc. | East Amherst | NY | 11/2004 | 07/2025 |
| Diulus Financial | East Amherst | NY | 11/2004 | Present |
| Lpl Financial Llc | East Amherst | NY | 07/2025 | Present |
1- 07/2025 - Diulus Financial - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/22/1980 - 120 hours per month/ during trading 2- 07/2025 - Diulus Financial - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/22/1980 - 150 hours per month/ 140 hours during trading 3- 07/2025 - Diulus Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/24/2004 - 150 hours per month/ 140 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-18 |
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