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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 | 2025-06-05 |
Branch Locations
Massapequa, NY • 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 |
|---|---|---|---|---|
| Morgan Stanley | Pasadena | CA | 06/2009 | 10/2016 |
| Western International Securities, Inc. | Pasadena | CA | 10/2016 | Present |
| Lpl Financial Llc | Duarte | CA | 06/2025 | Present |
Accident & Health, Life, and Variable Insurance; Investment-Related; Agent;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1984-12-18 |
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