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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 |
|---|---|---|---|
| WA | RA | APPROVED | 2024-03-25 |
| TX | RA | APPROVED_RES | 2024-03-20 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corporation | Seattle | WA | 08/1991 | 07/2022 |
| B. Riley Wealth Advisors | Seattle | WA | 12/2000 | 03/2024 |
| B. Riley Wealth Management | Seattle | WA | 07/2022 | 03/2024 |
| Lpl Financial | Bothell | WA | 03/2024 | Present |
1- 01/2024 / INSIGHT INVESTMENT SERVICES INC / Business Entity For Tax/Investment Purposes Only / Non Investment Related / 4 hrs mnth / start date 12/29/2003
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-24 |
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