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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 |
|---|---|---|---|
| AR | RA | APPROVED | 2026-05-07 |
Branch Locations
2600 S Pinnacle Hills Pkwy, Rogers, AR 72758 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Florida Financial Advisors Dba Tristate Financial Advisors | Nashville | TN | 09/2025 | 11/2025 |
| Blue Top Liquor | Fayetteville | AR | 08/2024 | 05/2025 |
| Lowes Home Improvement | Ruston | LA | 08/2022 | 05/2023 |
| Empire Building Materials | Ruston | LA | 08/2021 | 05/2022 |
| Laveer Wealth Management | Shreveport | LA | 05/2023 | 07/2023 |
| University Of Arkansas | Fayetteville | AR | 08/2023 | 05/2025 |
| Louisiana Tech University | Ruston | LA | 09/2021 | 05/2023 |
| C.E. Byrd Highschool | Shreveport | LA | 08/2017 | 06/2021 |
| Herndon Magnet School | Belcher | LA | 08/2008 | 08/2017 |
| Unemployed | Fayetteville | AR | 07/2023 | 08/2024 |
| Unemployed | Nashville | TN | 05/2025 | 09/2025 |
| First Western Bank | Rogers | AR | 12/2025 | Present |
| Lpl | Rogers | AR | 12/2025 | Present |
1. 05/2026 - First Western Financial - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 8 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 11/24/2025
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2026-07-10 |
| S65 | Uniform Investment Adviser Law Examination | 2025-09-23 |
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