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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-12-22 |
| ID | RA | APPROVED | 2025-09-02 |
| CA | RA | APPROVED | 2025-02-24 |
| TX | RA | APPROVED | 2025-02-24 |
Branch Locations
Queen Creek, AZ • United States
Coeur D Alene, ID • United States
2535 Townsgate Rd Suite 306, Westlake Village, CA 91361 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Westlake Village | CA | 11/2012 | 02/2025 |
| Lpl Financial Llc | Westlake Village | CA | 02/2025 | Present |
1)12/06/2024 - Townsgate Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)12/06/2024 - KCDM INC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Santa Barbara, CA - Start: 11/2012 - 1 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-19 |
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