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CRD 1294966
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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED_RES | 2023-05-11 |
| NY | RA | APPROVED | 2021-08-03 |
| NJ | RA | APPROVED | 2018-02-14 |
Branch Locations
1600 Perrineville Rd, Unit 18, Monroe Twp, NJ 08831 • United States
2754 Hylan Blvd, Staten Island, NY 10306 • United States
501 North Wood Ave, Linden, NJ 07036 • United States
6420 Amboy Rd., Staten Island, NY 10309 • United States
Naples, FL • United States
1082 Old York Road, Ringoes, NJ 08551 • United States
353 Pittstown Road, Pittstown, NJ 08867 • 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 |
|---|---|---|---|---|
| Invest Financial Corporation | Milltown | NJ | 05/1987 | 02/2018 |
| Lpl Financial Llc | Brooklyn | NY | 02/2018 | Present |
1. 02/14/2018 - Northfield Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/11/2025 - Naples Family Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-29 |
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