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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2023-07-06 |
| WA | RA | APPROVED | 2020-09-02 |
| CA | RA | APPROVED | 2020-09-01 |
Branch Locations
Fort Collins, CO • United States
16789 Bernardo Center Dr, San Diego, CA 92128 • United States
1201 Pacific Ave 6Th Floor, Tacoma, WA 98402 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Rjl Wealth Management, Llc | San Diego | CA | 04/2010 | Present |
| Lucia Securities, Llc | San Diego | CA | 09/2011 | Present |
| Lpl Financial, Llc | San Diego | CA | 09/2020 | Present |
1. 09/01/2020 - LUCIA CAPITAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 10%/ SAN DIEGO, CA 2. 04/01/2009 - LLK INSURANCE BROKERAGE SERVICES, LLC/ INSURANCE AGENCY/ INVESTMENT RELATED/ 0%/ SAN DIEGO, CA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-16 |
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