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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 | 2026-03-12 |
| TX | RA | APPROVED_RES | 2023-08-03 |
| SC | RA | APPROVED | 2022-10-10 |
| CA | RA | APPROVED | 2020-09-15 |
Branch Locations
Miami Beach, FL • United States
250 Lombard St Ste 5, Thousand Oaks, CA 91360 • United States
Mt Pleasant, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lincoln Investment | Fort Washington | PA | 07/2017 | 04/2018 |
| Wilkens-Weber Financial & Insurance Services | Woodland Hills | CA | 11/2016 | 04/2018 |
| Ohio National Financial Services | Cincinnati | OH | 11/2016 | 05/2018 |
| The Auto Gallery | Woodland Hills | CA | 08/2015 | 10/2016 |
| Cwm, Llc | Omaha | NE | 06/2018 | 01/2019 |
| Cetera Advisor Networks | El Segundo | CA | 06/2018 | 01/2019 |
| Cameron St Martin | Topanga | CA | 02/2019 | 03/2020 |
| Unemployed | Topanga | CA | 04/2020 | 08/2020 |
| Lpl Financial, Llc | Thousand Oaks | CA | 09/2020 | 03/2021 |
| Lpl Financial Llc | Thousand Oaks | CA | 03/2021 | Present |
1. 09/15/2020 - WILKINS/WEBER FINANCIAL & INSURANCE SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ THOUSAND OAKS, CA
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-28 |
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