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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 |
|---|---|---|---|
| HI | RA | APPROVED | 2026-01-02 |
| TX | RA | APPROVED | 2025-09-29 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| First Allied Securities, Inc | San Diego | CA | 12/2007 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | 09/2025 |
| Cetera Advisors Llc | Honolulu | HI | 09/2022 | 09/2025 |
| Lpl Financial Llc | Honolulu | HI | 09/2025 | Present |
1. 08/2025 - PCI SCHOLORSHIP FUND - Other -Not Investment Related - 2 Hour(s)/Month - 0 Hour(s) During Trading - Aiea Hi 96701 - OBA Start Date: 08/01/2025 2. 08/2025 -DONOR ADVISED FUND VANGUARD- Other - Not Investment Related - 1 Hour(s)/Month - 10 Hour(s) During Trading - Honolulu, HI 96813 - OBA Start Date: 11/28/2016 3. 08/2025 - PACIFIC CAPITAL INVESTMENTS - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 8 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 9/29/2025 4. 08/2025 - RENTAL PROPERTIES - OWEN YAMAMURA - Real Estate Rental - Investment Related - 2 Hour(s)/Month - 0 Hour(s) During Trading - Aiea HI 96701- OBA Start Date: 01/01/2019
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-04 |
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