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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-04 |
| TX | RA | APPROVED | 2025-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ogden | UT | 04/2022 | 12/2022 |
| Franco Law Firm, Apc | Los Angeles | CA | 02/2003 | 09/2017 |
| Bank Of America, N.A. | Chandler | AZ | 03/2019 | 08/2019 |
| Wells Fargo Clearing Services, Llc | Tempe | AZ | 03/2020 | 03/2022 |
| Wells Fargo Bank, Na | Tempe | AZ | 03/2020 | 03/2022 |
| City Of Helena | Helena | MT | 03/2019 | 09/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gilbert | AZ | 04/2022 | 12/2022 |
| Bank Of America, N.A. | Gilbert | AZ | 04/2022 | 12/2022 |
| Edward Jones | St Louis | MO | 12/2022 | 09/2025 |
| Unemployed | Chandler | AZ | 10/2017 | 02/2019 |
| Unemployed | Tempe | AZ | 10/2019 | 02/2020 |
| Lpl Financial | Port Hueneme | CA | 11/2025 | Present |
| Law Office Of Robert M. Baskin, Apc | Ventura | CA | 09/2025 | Present |
1. 10/2025- Attorney/ Legal Services- Law Office of Robert M. Baskin APC- Non Inv Rel- Ventura, CA- 30 Hrs Per Mnth- 30 Hrs During Trading- Start Date 09/22/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-26 |
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