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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2026-03-20 |
Branch Locations
15 West I-65 Service Road North, Mobile, AL 36608 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
15 West I-65 Service Road North, Mobile, AL 36608 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | Saint Cloud | MN | 08/2022 | 03/2026 |
| Hancock Whitney Bank | Mobile | AL | 09/2007 | 03/2026 |
| Cetera Investment Advisers Llc | Mobile | AL | 09/2024 | 03/2026 |
| Lpl Financial Llc | Mobile | AL | 03/2026 | Present |
| First Horizon Bank | Mobile | AL | 03/2026 | Present |
1. 03/2026 - Tuccaremm LLC - Business Owner- Inv Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Mobile AL 36608 - OBA Start Date: 03/12/2026 2. 03/2026 - Investment products and services are offered through LPL Financial, LLC using the DBA/trade name First Horizon Advisors - Inv Related - 100 Hour(s)/Month - 100 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 3/19/2026 3. 03/2026 - First Horizon advisors - Financial Institution Duty - Inv Related - 100 Hour(s)/Month - 100 Hour(s) During Trading - Mobile AL 36608 - OBA Start Date: 03/10/2026 4. 03/2026 - Billy Bowlegs LLC - Farm - Not Inv Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Mobile AL 36608 - OBA Start Date: 03/10/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-11 |
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