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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 | 2022-05-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Sugar Land | TX | 08/2014 | 04/2022 |
| Independent Financial Group, Llc | Sugar Land | TX | 04/2022 | 05/2022 |
| Lpl Financial Llc | Sugar Land | TX | 05/2022 | Present |
1)05/06/2022 - James & Sons Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2022
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1981-05-05 |
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