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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 | 2022-03-03 |
Branch Locations
9595 Six Pines Dr Ste 6310, The Woodlands, TX 77380 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Artesa Financial Group | Conroe | TX | 06/2010 | 01/2017 |
| Asset Guardian | Conroe | TX | 02/2001 | 01/2017 |
| Life Lift Wealth Management Llc | Conroe | TX | 02/2017 | 11/2017 |
| Wells Fargo Clearing Services Llc | Houston | TX | 11/2017 | 03/2022 |
| Lpl Financial Llc | The Woodlands | TX | 03/2022 | Present |
1. 08/20/2025 - Highland Wealth Partners by Platte River Private Wealth - DBA for LPL Business (entity for LPL business) - Inv Rel - At reported Business location(s) - Start date: 08/18/2025 - 160hrs/mnth during Trading. 2) 10/21/2025 - Platte River Private Wealth - Investment Related - DBA for LPL Business (entity for LPL business) - At reported Business location(s) - Start date: 10/15/2025 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-04-20 |
| S65 | Uniform Investment Adviser Law Examination | 2010-05-25 |
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