Best Investors
Account
Sign in
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 | 2025-06-05 |
| CT | RA | APPROVED | 2025-06-05 |
| MN | RA | APPROVED | 2025-06-05 |
| NJ | RA | APPROVED | 2025-06-05 |
| OR | RA | APPROVED | 2025-06-05 |
| TX | RA | APPROVED_RES | 2025-06-05 |
| WA | RA | APPROVED | 2025-06-05 |
Branch Locations
2555 Townsgate Rd Ste 300, Westlake Village, CA 91361 • United States
Santa Monica, CA • United States
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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Santa Monica | CA | 10/2012 | 08/2019 |
| J.P. Morgan Chase Bank, N.A. | Santa Monica | CA | 01/2018 | 08/2019 |
| Western International Securities, Inc. | Pasadena | CA | 08/2019 | 06/2025 |
| Lpl Financial Llc | Westlake Village | CA | 06/2025 | Present |
1- 06/2025 - Libra Financial, LLC - DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 12/30/2019 - 160 hours per month/ 80 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-27 |
Reach out to this advisor