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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-05 |
| CA | RA | APPROVED | 2023-01-04 |
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 |
|---|---|---|---|---|
| Wedbush Morgan Securities Inc. | San Francisco | CA | 03/1997 | 01/2023 |
| Lpl Financial Llc | Carlsbad | CA | 01/2023 | Present |
1)12/07/2022 - Celia "Sid" Garcia Financial Advisor - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)12/07/2022 - Homeowner - Real Estate Rental - Inv Rel - Carlsbad, CA - Start: 09/2022 - 1 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-05-01 |
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