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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 | 2023-03-24 |
Branch Locations
11919 Jones Maltsberger Rd, San Antonio, TX 78216 • United States
Stockdale, TX • 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 |
|---|---|---|---|---|
| Wfg Investments Inc | San Antonio | TX | 05/2012 | 08/2017 |
| Lone Star Retirement Services | San Antonio | TX | 01/2002 | 08/2017 |
| 401K Concierge | San Antonio | TX | 09/2013 | 01/2017 |
| Securities America Inc. | San Antonio | TX | 08/2017 | 03/2023 |
| Securities America Advisors | San Antonio | TX | 08/2017 | 03/2023 |
| Lpl Financial Llc | San Antonio | TX | 03/2023 | Present |
1) 02/15/2023 - WALKER ALSTON FINANCIAL GROUP - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 02/15/2023 - Scuderia San Antonio - Private Curation - Holding company for my Antiques and Collectables - San Antonio. Texas 78216 - Non investment related - 4 Hours per month - Start date: 03/27/2023. 3) 02/15/2023 - IMMOTUS - Real Estate Rental - owner - 11919 Jones Malstberger Rd, San Antonio, Texas 78216 - Investment related - 1 Hour per month - Start date: 03/27/2023. 4)01/15/2023 - GR Alston Family Trust - Act in a Fiduciary Capacity - Inv Rel - At Reported Business Location(s) - Start: 03/2023 - 4 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-08-11 |
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