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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 | 2018-05-25 |
| NM | RA | APPROVED | 2018-05-25 |
| TX | RA | APPROVED | 2018-05-21 |
Branch Locations
24 Greenway Plz # 1895, Houston, TX 77046 • United States
Sugarland, TX • United States
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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Houston | TX | 05/2015 | 05/2018 |
| Lpl Financial, Llc | Houston | TX | 05/2018 | Present |
1. 5/11/2018 - Sovereign Wealth Advisors - Investment Related - At Reported Business Locations(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/12/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 06/11/2019 - No business name - Investment related - Home based - Non-Variable Insurance - start date:12/15/2018 - 1 hr/mo - 0 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-03-10 |
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