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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-04 |
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 |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 06/2014 | 10/2017 |
| Lpl Financial, Llc | Prescott | AZ | 10/2017 | Present |
1. 02/13/2024 - FOWA, LLC - Business Entity For Tax/Investment Purposes Only - Owner/ Manager - Not Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 160 Hours Per Month/ 8 Hours During Trading 2) 04/21/2025 - Fair Oaks Wealth Advisors - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Star Date :12/17/2020 - 160 Hrs/Mth - 120 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-10 |
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