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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Eric Lawrence Phelps

Advisor at LPL FINANCIAL LLC

Killeen, TX | KILLEEN, TX | SAN DIEGO, CA | SALADO, TX

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Search this name across graphsid dfx:ria:04fb7b69-3948-b5d2-d187-2b3e03e07c8c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 14, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 13, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 13, 2001
First registration: Sep 14, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4430083

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 30, 2022	n/a	yes	Killeen, TX\|KILLEEN, TX\|SALADO, TX\|SAN DIEGO, CA	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jun 21, 2021	Nov 30, 2022	no	MERIDEN, CT\|Kileen, TX\|Killeen, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 25, 2018	Jun 22, 2021	no	Killeen, TX	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Oct 16, 2009	Sep 25, 2018	no	SAN ANTONIO, TX\|Killeen, TX	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Dec 5, 2005	Oct 15, 2009	no	COPPERAS COVE, TX\|KILLEEN, TX\|HEWITT, TX\|GATESVILLE, TX\|LAMPASAS, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 14, 2001	Dec 9, 2002	no	TEMPLE, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC INSTITUTIONS, INC.	LPL FINANCIAL LLC	Nov 30, 2022	Nov 30, 2022	0	Firm change	Ibd to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	OSAIC INSTITUTIONS, INC.	Jun 22, 2021	Jun 21, 2021	-1	Firm change	Ibd to ibd
INVESTMENT PROFESSIONALS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 25, 2018	Jun 25, 2018	-92	Bulk transfer	Ibd to ibd
CETERA INVESTMENT SERVICES LLC	INVESTMENT PROFESSIONALS, INC.	Oct 15, 2009	Oct 16, 2009	1	Firm change	Other
MORGAN STANLEY DW INC.	CETERA INVESTMENT SERVICES LLC	Dec 9, 2002	Dec 5, 2005	1,092	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
35371:6413:TX:2022-11-30	Nov 30, 2022	Nov 30, 2022	KILEEN, TX	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 30, 2022 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Jun 21, 2021 to Nov 30, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 25, 2018 to Jun 22, 2021factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Oct 16, 2009 to Sep 25, 2018factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Dec 5, 2005 to Oct 15, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 14, 2001 to Dec 9, 2002factForm ADV

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
Eric Lawrence Phelps left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2022-11-30)
Form ADVobserved 5 days ago