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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-13 |
| TX | RA | APPROVED | 2026-07-13 |
Branch Locations
2530 El Camino Real, Carlsbad, CA 92008 • United States
790 West San Marcos Blvd, San Marcos, CA 92078 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | San Diego | CA | 06/2009 | 02/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 06/2009 | 02/2017 |
| Alpha Cubed Investments, Llc | Irvine | CA | 02/2017 | 05/2018 |
| Private Client Services, Llc | Louisville | KY | 02/2017 | 12/2017 |
| Pure Financial Advisors, Inc. | San Diego | CA | 05/2018 | 07/2019 |
| Edward Jones | St.LOuis | MO | 07/2019 | 10/2023 |
| U.S. Bancorp Investments, Inc. | Oceanside | CA | 10/2023 | 02/2026 |
| U.S. Bancorp Advisors, Llc | Oceanside | CA | 02/2026 | 07/2026 |
| Lpl Financial Llc | Carlsbad | CA | 07/2026 | Present |
| San Diego County Credit Union | Carlsbad | CA | 07/2026 | Present |
1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name SDCCU Investment Services - Inv Rel - At Reported Business Location (s) - Start Date: 7/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-11 |
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