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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2024-06-13 |
| OH | RA | APPROVED | 2024-05-08 |
| TX | RA | APPROVED | 2024-05-08 |
Branch Locations
Pepper Pike, OH • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
6815 Poplar Ave Ste 160, Germantown, TN 38138 • United States
3 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 |
|---|---|---|---|---|
| B. Riley Wealth Management | Memphis | TN | 08/2014 | 04/2024 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 04/2024 |
| Lpl Financial Llc | Pepper Pike | OH | 05/2024 | Present |
1) 05/2024 - Alia Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 100hrs/month - 40% time spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-03 |
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