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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2021-11-16 |
| TX | RA | APPROVED | 1991-06-14 |
Branch Locations
4131 N Central Expy Suite 900, Dallas, TX 75204 • United States
Dallas, TX • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Dallas | TX | 06/1991 | Present |
(1) 12/15/2006: No Business Name - DBA for LPL Business (entity for LPL business) - TEXAS INVESTMENT AND RETIREMENT ASSOCIATES - INV REL - At Reported Business Location(s) (2) 12/01/2008: No Business Name - Non-Variable Insurance - INV REL - At Reported Business Location(s) - Infrequent fixed insurance sales - 2% Time Spent (3) 03/19/2026 - Real Estate Rental, 2nd home - Real Estate Rental - Investment Related - Durango, CO - Start Date 04/01/2026 - 2 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-06-28 |
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