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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 | 2018-10-31 |
| TX | RA | APPROVED_RES | 2018-10-31 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Brokerage Services Inc | Torrance | CA | 04/2009 | 10/2018 |
| Summit Financial Group Inc | Torrance | CA | 04/2009 | 10/2018 |
| Lpl Financial Llc | Torrance | CA | 10/2018 | Present |
1.03/05/2019; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Patriot Wealth Management; Investment Related; at Reported Business Location(s); Start Date 01/01/2000; 173hrs/mth; 173hrs during trading 2.08/19/2026; Bishop Montgomery High School; Coach/ Sports/ Fitness; Not Investment Related; Torrance,CA; Start Date 08/03/2026; 64hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-06-14 |
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