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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 |
|---|---|---|---|
| LA | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED | 2025-07-10 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Mike Ackel & Associates Auctioneers | Monroe | LA | 09/1998 | Present |
| Next Financial Group, Inc | Houston | TX | 01/2009 | 07/2025 |
| Lpl Financial Llc | Cedar Park | TX | 07/2025 | Present |
1. 07/10/2025- David Ackel Auctions- Business Owner- INV Related- Home Based- Start date 05/04/1989- 20 Hours Per Month- 1 Hour During Trading 2. 07/10/2025- David Ackel Auctions- Business Owner- Not INV Related- Home Based- Start date 05/04/1989- 15 Hours Per Month- 5 Hours During Trading 3. 07/10/2025-David Ackel Auctions, LLC.- Real Estate Rental- INV Related- At Cedar Park, TX - Start date 05/04/1989- 30 Hours Per Month- 8 Hours During Trading 4. 07/10/2025- Focus Forward Financial Planning, LLC- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 05/04/2008- 160 Hours Per Month- 160 Hours During Trading 5. 07/10/2025- David Ackel- Mortgage/Real Estate Services- INV Related- At Reported Business Location(s)- Start date 02/10/2013-1 Hour Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-25 |
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