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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-07-23 |
Branch Locations
201 North Franklin Street Suite 100, Tampa, FL 33602 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 10/2010 | 11/2016 |
| Wells Fargo Bank Na | New York | NY | 08/2013 | 07/2021 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 08/2024 |
| Fifth Third Bank | Tampa | FL | 10/2024 | 04/2026 |
| Wells Fargo Bank Na | Tampa | FL | 07/2021 | 08/2024 |
| First Horizon Bank | Tampa | FL | 05/2026 | Present |
| Lpl Financial Llc | Tampa | FL | 07/2026 | Present |
1. “Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Inv Rel - At Reported Business Location (s) - Start Date : 07/2026 2. 07/2026– First Horizon Bank – Financial Institution Duty – Inv Related – 100 Hour(s)/Month – 100 Hour(s) During Trading – Tampa FL 33602 – OBA Start Date: 07/09/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-03 |
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