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LPL FINANCIAL LLC

FORT MILL, SC · CRD 6413 · IAPD ↗ · 704-733-3300

$819.12BRegulatory AUM
36280Advisory reps
41879Employees
209600Clients
More than 500Planning clients
0Private funds
53States
381Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
October 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (380 -> 381).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
August 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 4 (376 -> 380).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 4 (372 -> 376).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 6 (366 -> 372).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 14 (352 -> 366).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 10 (342 -> 352).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — LPL FINANCIAL LLC added office(s): 18523 -> 20864 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2026 — LPL FINANCIAL LLC reported RAUM up 32% ($618.92B -> $819.12B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — LPL FINANCIAL LLC grew from 28347 to 36280 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 8 (334 -> 342).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2026 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 8 (326 -> 334).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
December 2025 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 18 (345 -> 363).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
August 2025 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 2 (343 -> 345).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2025 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 2 (341 -> 343).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 4 (337 -> 341).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — LPL FINANCIAL LLC added office(s): 17453 -> 18523 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2025 — LPL FINANCIAL LLC reported RAUM up 34% ($463.48B -> $618.92B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2025 — LPL FINANCIAL LLC grew from 27045 to 28347 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2025 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 3 (334 -> 337).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
February 2025 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 4 (330 -> 334).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
November 2024 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 42 (289 -> 331).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
October 2024 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 3 (286 -> 289).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2024 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (324 -> 325).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — LPL FINANCIAL LLC added office(s): 9898 -> 17453 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2024 — LPL FINANCIAL LLC reported RAUM up 26% ($368.02B -> $463.48B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2024 — LPL FINANCIAL LLC grew from 25961 to 27045 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2024 — LPL FINANCIAL LLC's Item 11 disclosure-reporting entries rose by 1 (323 -> 324).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.