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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
AL RA APPROVED 2026-03-20
  • AL RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 08/2022 → 03/2026
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 09/2007 → 03/2026
    Hancock Whitney Bank
    Mobile, AL
  • 09/2024 → 03/2026
    Mobile, AL
  • 03/2026 → Present
    Mobile, AL
  • 03/2026 → Present
    First Horizon Bank
    Mobile, AL
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-11
  • S66 Uniform Combined State Law Examination
    2024-09-11
Other Names
  • John Gage

View on SEC IAPD

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