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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_RES | 2026-07-24 |
| NJ | RA | APPROVED | 2024-04-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Metuchen | NJ | 04/2015 | 12/2023 |
| Lincoln Financial Advisors Corporation | Red Bank | NJ | 12/2023 | 04/2024 |
| Lpl Financial Llc | Red Bank | NJ | 04/2024 | Present |
1- 04/19/2024/ Whalen Wealth Management / Business Entity For Tax/Investment Purposes Only / Not Investment Related / 1 hr mth / Start date: 04/012024. 2- 04/19/2024/ Seamus Whalen NVI / Non-Variable Insurance / Investment Related / 1 hr mth / 1 hr during trading / Start date: 04/01/2024 3- 04/19/2024 / KRIETZBERG WEALTH MANAGEMENT / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)/Start Date:12/07/0202. 4- 04/19/2024/ Seamus Whalen / Real Estate Rental / Property Owner / Investment Related / 1 hr mth / Fort Wayne, Indiana / Start date: 10/27/2021 5) 08/28/2025 - Financial Educators Network - Not Investment Related - Other - Teaching - Woodbridge NJ - Start Date:10/21/2025 - 3 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-18 |
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