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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-09-30 |
| TX | RA | APPROVED | 2020-11-30 |
Branch Locations
7500 Rialto Blvd Ste 230 Bldg 1, Austin, TX 78735 • United States
1000 Heritage Center Cir #134, Round Rock, TX 78664 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 03/2017 | 11/2018 |
| Alcami Corporation (Formerly Aai Pharma Services/Cambridge Major | Wilmington | NC | 09/2014 | 03/2017 |
| The Fox Alliance Wealth Advisors | Austin | TX | 11/2018 | Present |
| First Allied Securities, Inc | San Diego | CA | 12/2018 | 02/2020 |
| First Allied Advisory Services, Inc | San Diego | CA | 12/2018 | 11/2020 |
| First Allied Securities, Inc | San Diego | CA | 02/2020 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Lpl Financial Llc | Austin | TX | 11/2020 | Present |
1)11/30/2020- The Fox Alliance- DBA for LPL Business (entity for LPL business)- Inv. Related- Austin, TX- 100%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-28 |
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