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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
1401 Dove St Ste 100, Newport Beach, CA 92660 • United States
1201 E Katella Ave, Orange, CA 92867 • United States
200 S Main St St 140, Corona, CA 92882 • United States
310 North Harbor Blvd, Fullerton, CA 92832 • United States
30100 Town Center Drive Ste Q, Laguna Niguel, CA 92677 • United States
2650 East Imperial Highway, Brea, CA 92821 • United States
800 Glenneyre, Laguna Beach, CA 92651 • United States
12680 High Bluff Drive Ste 125, San Diego, CA 92130 • United States
7755 Center Ave Suite 1250, Huntington Beach, CA 92647 • United States
77 Plaza Square, Orange, CA 92866 • United States
1551 N Tustin Ave Suite 860, Santa Ana, CA 92705 • United States
Suite 100 23046 Avenida De La Carlotta, Laguna Hills, CA 92653 • United States
610 W Ash Street Suite 1100, San Diego, CA 92101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City National Bank | Irvine | CA | 01/2019 | 11/2023 |
| Lpl Financial Llc | Orange | CA | 12/2023 | Present |
| Citizens Business Bank | Orange | CA | 12/2023 | Present |
| Unionbanc Investment Services | Los Angeles | CA | 07/2005 | 01/2019 |
1) 11/2023 - CitizensTrust 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 | 2006-02-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-26 |
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