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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2024-01-11 |
| NC | RA | APPROVED | 2024-01-10 |
| TX | RA | APPROVED | 2024-01-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cardinal Financial | Charlotte | NC | 10/2017 | 12/2017 |
| Fedex | Charlotte | NC | 10/2017 | 12/2017 |
| Wells Fargo Home Mortgage | Charlotte | NC | 03/2016 | 10/2017 |
| Ubs Financial Services | Charlotte | NC | 12/2017 | 12/2018 |
| Pnc Investments Llc | Charlotte | NC | 03/2019 | 03/2021 |
| Fidelity Investments | Jacksonville | FL | 03/2021 | 11/2021 |
| Wells Fargo Clearing Services Llc | Charlotte | NC | 11/2021 | 12/2023 |
| Lpl Financial Llc | Fort Mill | SC | 12/2023 | Present |
1. 07/15/2025 - Huther Homes - Real Estate Rental - Home Based - Not Inv Rel - Start date: 06/30/2025 - 1Hr/mnth 0hr during Trading 2. 07/15/2025 - Huther Homes - Real Estate Rental - Home Based - Inv Rel - Start date: 06/30/2025 - 1Hr/mnth 0hr during Trading 3. 10/28/2025 - Huther Homes LLC - Real Estate Rental - Investment Related - Charlotte, NC - Start Date 01/01/2026 - 2 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-03-13 |
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