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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 | 2026-02-12 |
| NY | RA | APPROVED | 2025-03-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup | New York | NY | 06/2022 | 08/2022 |
| University Of Michigan | Ann Arbor | MI | 09/2019 | 05/2023 |
| Tottenville High School | Staten Island | NY | 09/2015 | 06/2019 |
| Intermediate School 7 Elias Bernstein | Staten Island | NY | 09/2012 | 06/2019 |
| Citigroup | New York | NY | 07/2023 | 03/2025 |
| Bmo Harris Bank | New York | NY | 03/2025 | Present |
| Lpl Financial | New York | NY | 03/2025 | Present |
1) 02/2025 - BMO INVESTMENT SERVICES / DBA for LPL Business (entity for LPL business) Inv Related - at reported business location (s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-09-01 |
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