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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2008-03-13
  • TX RA
    APPROVED
    Since 2008-03-13

Branch Locations

2003 E Griffin Pkwy, Mission, TX 78572 • United States

520 E Nolana Ave Ste 120, Mcallen, TX 78504-2682 • United States

2100 Boca Chica Blvd, Brownsville, TX 78521 • United States

15326 Huebner Rd, San Antonio, TX 78248 • United States

5515 N. 10Th St, Mcallen, TX 78504 • United States

117 S. 10Th Ave, Edinburg, TX 78539 • United States

200 Lindberg, Mcallen, TX 78501 • United States

1300 E. Ridge Rd, Mcallen, TX 78501 • United States

600 E. Nolana Ave, Mcallen, TX 78504 • United States

720 E. Veterans Blvd, Palmview, TX 78574 • United States

206 W. Ferguson, Pharr, TX 78577 • United States

2300 E. Highway 83, Rio Grande City, TX 78582 • United States

214 S. Texas Rd, Weslaco, TX 78596 • United States

15326 Huebner Rd, San Antonio, TX 78248 • United States

5515 N 10Th St, Mcallen, TX 78504 • United States

381 N Loop 1604 W, San Antonio, TX 78232 • United States

200 Lindberg Ave, Mcallen, TX 78501 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lone Star National Bank Pharr TX 10/2001 Present
Lpl Financial Corporation Pharr TX 03/2008 Present
  • 10/2001 → Present
    Lone Star National Bank
    Pharr, TX
  • 03/2008 → Present
    Lpl Financial Corporation
    Pharr, TX
Previous Registrations
  • 2001-01-03 → 2008-03-11
    Raymond James Financial Services, Inc.
    Pharr, TX
Other Businesses

1. 3/13/08 - DBA - LSNB INVESTMENT SERVICES, INC. 2. 07/14/08 - OTHER-FIXED ANNUITY, AMERICAN NATIONAL, FIXED ANUITY WITH APPROVED SPONSOR AMERICAN NATIONAL - CITADEL DIAMOND SERIES ANNUITY 5, 2% TIME SPENT. 3. 7/17/2017 - Genworth Life Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance Agent of Record - Started 06/13/2017 - 1 Hour Per Month During Securities Trading - Fixed annuity. 4. 03/19/2019 - Ameritas - Investment related - At reported business location(s) - Non-Variable Insurance - start date:03/08/2019 - 1 hr/mo - 0 hrs during trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-13
  • S66 Uniform Combined State Law Examination
    2000-11-13

View on SEC IAPD

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