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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-05-05 |
| NJ | RA | APPROVED | 2025-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| College Of Staten Island | Staten Island | NY | 08/2010 | Present |
| Public Service Enterprise Group | Newark | NJ | 09/2011 | Present |
| H. Beck, Inc. | Rockville | MD | 05/2015 | 03/2021 |
| Grove Point Advisors, Llc | Rockville | MD | 04/2021 | 05/2025 |
| Grove Point Investments, Llc | Rockville | MD | 04/2021 | 05/2025 |
| Lpl Financial Llc | Staten Island | NY | 05/2025 | Present |
1. 5/2025 - Public Service Enterprise Company - Outside/W-2 Employment - NOT INV REL - Newark, NJ - Start Date 09/26/2011 - 140hrs/MTH -60hrs During Trading 2. 5/2025 - Adjunct Lecturer - Teacher Paid by School or University - NOT INV REL - Staten Island, NY - Start Date 09/01/2004 - 8hrs/MTH 3. 5/2025 - Vinciguerra Capital Management Group - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location - Start Date 01/01/2020 - 140hrs/MTH
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-09-24 |
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