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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 | 2025-05-15 |
Branch Locations
7436 Denton Hwy, Watauga, TX 76148 • United States
3451 Texas Sage Trl, Fort Worth, TX 76177-8621 • United States
717 W Bailey Boswell Road, Saginaw, TX 76179 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Abilene Christian University | Abilene | TX | 03/2016 | 01/2019 |
| Trinity Real Estate Investment Services | Fort Worth | TX | 06/2018 | 11/2018 |
| Abilene Christian University | Abilene | TX | 08/2014 | 12/2018 |
| Axa Advisors, Llc | New York | NY | 03/2019 | 01/2020 |
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2020 | 08/2023 |
| Thrivent Advisor Network, Llc | Dallas | TX | 06/2020 | 12/2022 |
| 49 Financial | Austin | TX | 01/2023 | 08/2023 |
| Raymond James Financial Services Inc. | Midland | TX | 05/2024 | 12/2024 |
| Intuitive Surgical | Midland | TX | 10/2023 | 05/2024 |
| Raymond James Financial Services Advisors, Inc. | Midland | TX | 05/2024 | 12/2024 |
| Van Pearcy Wealth Services | Midland | TX | 05/2024 | 12/2024 |
| Unemployed | N/A | TX | 01/2025 | 02/2025 |
| Cuso Financial Services, Lp | San Diego | CA | 02/2025 | Present |
| Lpl Financial Llc | Fort Worth | TX | 05/2025 | Present |
1) 05/15/2025 - EECU Investment & Retirement Services - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 16-MAY-25 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2019-02-11 |
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