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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2023-05-26 |
Branch Locations
4295 San Felipe Street Ste 300, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Houston | TX | 01/2006 | 11/2016 |
| Raymond James Financial Services, Inc. | Houston | TX | 12/2016 | 05/2023 |
| Raymond James Financial Services Advisors Inc. | Houston | TX | 01/2017 | 05/2023 |
| Ruredy808 | Houston | TX | 01/2016 | Present |
| Lamar Valley Llc | Houston | TX | 04/2018 | Present |
| Lpl Financial Llc | Houston | TX | 05/2023 | Present |
1) 05/2023 - Savage Investment Consulting - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 11/2016 - 120 Hr/Mth 2) 05/2023 - Lamar Valley LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 04/2018 - 2 Hr/Mth 3) 05/2023 - RuRedy808 - Owner of Real Estate Rental - Inv Rel - Houston, TX - Start: 01/2016 4) 05/2023 - ALPHA HUNTING PROPERTIES, LLC - Owner of Real Estate Rental - Inv Rel - Houston, TX - Start: 04/2004 5) 05/2023 - Savageproperties - Owner of Real Estate Rental - Inv Rel - Houston,TX - Start: 05/2021 6) 12/04/2023 - Moran1991 LP - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 08/01/2023 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-31 |
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