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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2022-01-11 |
| TX | RA | APPROVED | 2013-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Houston | TX | 07/2011 | Present |
(1) 09/10/2013: WILL'S HILLS HIGH SCHOOL - Outside/W-2 Employment - Investment Related - At Reported Business Location(s) - 1% Time Spent - manager of the running club (2) 02/11/2014: HENDERSON INVESTMENT SERVICES, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Investment Related - At Reported Business Location(s) (3) 4/9/2017 - Carsplus Houston - Not Investment Related - Home Based - Other-Automotive - Started 05/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Automotive Sales - Carplus. (4) 07/10/2024 - First Baptist Church - Non-Inv Related - Houston, TX - Teach Spin Class - Started: 7/2/2024 - 4 Hrs/Mo; 0 Hr During Trading. (5) 12/01/2025 - William Henderson - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 11/03/2025 - 5 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-27 |
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