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.

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

Jan 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

3

Exams

S66

First exam

Jan 31, 2018

First registration

Feb 2, 2018

Dual registered

yes, broker-dealer

Other names

Shanel Sarah Dubique-James

IAPD individual key

6824736

• Occurred

  May 15, 2025
  Advisor changed firm

  Shanel Sarah Dubique left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)

  Form ADVobserved 6 days ago
• Occurred

  Oct 13, 2022
  Advisor changed firm

  Shanel Sarah Dubique left First Command Advisory Services for Cuso Financial Services, L.P. (registered 2022-09-26)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0cf988c5-87bd-0e05-dc81-6ae5dedc2096

First observed

Feb 2, 2018

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.