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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 | 2009-03-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Irvine | CA | 03/2009 | Present |
1. 3/1/2018 - Pacific Financial Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/06/2009 - 40 Hours Per Month During Securities Trading. 2. 08/13/2024 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/28/2024 - 2 Hours per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-09 |
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