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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 | 2023-09-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corp | Atlanta | GA | 02/2016 | 08/2017 |
| Royal Alliance Associates | Conroe | TX | 08/2017 | 09/2023 |
| Lpl Financial Llc | Magnolia | TX | 09/2023 | Present |
1) 08/11/2023 - Centurion Private Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 200 Hours per month. 2) 08/11/2023 - JJ Management LLC - Business Entity For Tax/Investment Purposes Only - TX 77354 - Non investment related - 1% time spent - Start date: 07/12/2023.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-06 |
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