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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2026-08-25 |
Branch Locations
10975 Benson Dr Ste 390, Overland Park, KS 66210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Blue Springs | MO | 07/2016 | 05/2021 |
| University Of Missouri Kansas City | Kansas City | MO | 05/2021 | 12/2021 |
| Unemployed | Blue Springs | MO | 12/2021 | 05/2022 |
| Metro Pool Service | Kansas City | MO | 05/2022 | 08/2022 |
| Unemployed | Columbia | MO | 08/2022 | 02/2023 |
| Wendys | Columbia | MO | 02/2023 | 08/2023 |
| Unemployed | Columbia | MO | 08/2023 | 06/2024 |
| Fedex Ground | Columbia | MO | 06/2024 | 12/2025 |
| Lpl Financial Llc | Overland Park | MO | 05/2025 | Present |
1. 07/2026 – Ramos Group – DBA for LPL Business (entity for LPL business) – Inv Related – 160 Hour(s)/Month – 40 Hour(s) During Trading – At Reported Business Location (s)– OBA Start Date:7/22/2026 2. 07/2026 – Convergence Financial, LLC – DBA for LPL Business (entity for LPL business) – Inv Related – 160 Hour(s)/Month – 40 Hour(s) During Trading – Columbia MO 65203 OBA Start Date: 7/22/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-08-24 |
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