Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| OH | RA | APPROVED | 2026-03-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Destra Capital Investments Llc | Loveland | OH | 12/2011 | 08/2018 |
| Lpl Financial Llc | Dayton | OH | 03/2026 | Present |
| Destra Capital Advisors, Llc | Chicago | IL | 12/2011 | 08/2018 |
| Unemployed | Cincinnati | OH | 08/2018 | 08/2020 |
| Pruco Securities, Llc | Cincinnati | OH | 08/2020 | 12/2021 |
| The Prudential Insurance Company Of America | Cincinnati | OH | 08/2020 | 12/2021 |
| Gwfs Equities, Inc | Greenwood Village | CO | 01/2022 | 05/2022 |
| Royal Alliance Associates, Inc | Loveland | OH | 06/2022 | 10/2022 |
| Sammons Financial Network, Llc | West Des Moines | IA | 12/2022 | 11/2024 |
| Beacon Capital Management, Inc | Dayton | OH | 12/2022 | 11/2024 |
| Unemployed | Loveland | OH | 10/2022 | 12/2022 |
| Unemployed | Loveland | OH | 12/2024 | 03/2026 |
| Universal 1 Cu Inc | Dayton | OH | 03/2026 | Present |
1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name U1 Financial Advisors - Inv Rel - At Reported Business Location (s) - Start Date : 02/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2011-12-28 |
Reach out to this advisor