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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Santa Rosa | CA | 06/2026 | Present |
| University Of Colorado Boulder | Boulder | CO | 08/2022 | 05/2026 |
| University Of Colorado Boulder Recreation Center | Boulder | CO | 05/2024 | 05/2026 |
| Northwestern Mutual Investment Services, Llc | Boulder | CO | 10/2024 | 11/2024 |
| University Of Colorado Boulder Recreation Center | Boulder | CO | 08/2023 | 05/2024 |
| University Of Colorado Boulder Recreation Center | Boulder | CO | 01/2023 | 08/2023 |
| Point Loma Seafoods | San Diego | CA | 05/2023 | 08/2023 |
| Eastlake High School | Chula Vista | CA | 07/2018 | 06/2022 |
| Poke One N Half | Chula Vista | CA | 02/2022 | 08/2022 |
| Point Loma Seafoods | San Diego | CA | 06/2021 | 10/2021 |
| Eastlake Middle School | Chula Vista | CA | 06/2016 | 07/2018 |
1. 06/2026 – Arrow Point Wealth Management– DBA for LPL Business (entity for LPL business) – Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – At Reported Business Location (s) – OBA Start Date: 6/29/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-05-29 |
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