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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

KIM MARIE PRUITT

Advisor at LPL FINANCIAL LLC

INVERNESS, FL | WAVERLY, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0dfd0188-96b1-a7fc-86da-a6a6fa05004e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2003 to Sep 14, 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: Jun 27, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S65|S63|S66
First exam: Jun 27, 1994
First registration: Jan 10, 2003
Dual registered: yes, broker-dealer
Other names: KIM MARIE WHITAKER
IAPD individual key: 2370497

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	May 18, 2022	n/a	yes	WAVERLY, IA\|INVERNESS, FL	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Feb 18, 2003	Jun 6, 2022	no	VIENNA, VA\|INDIANAPOLIS, IN\|KANSAS CITY, MO\|ST. LOUIS, MO\|BRENTWOOD, TN\|CHATTANOOGA, TN\|GREENVILLE, TN\|DECATUR, AL\|OAKRIDGE, TN\|ATLANTA, GA\|MARIETTA, GA\|COLUMBUS, GA\|WARRENVILLE, SC\|COLUMBUS, IN\|WEST LAFAYETTE, IN\|GOSHEN, IN\|BURNS HARBOR, IN\|WABASH, IN\|SOUTH BEND, IN\|EVANSVILLE, IN\|COLUMBIA, SC\|NASHVILLE, TN\|MUSCLE SHOALS, AL\|W LAFAYETTE, IN\|NEWBURGH, IN\|N CHARLESTON, SC\|CHATTANOOGA, TN\|TULLAHOMA, TN\|IRMO, SC\|BEDFORD, IN\|KNOXVILLE, TN\|INDIANAPOLIS, IN\|COLUMBIA, SC\|GREENVILLE, SC\|ST LOUIS, MO\|GLADSTONE, MO\|ST LOUIS, MO\|BIRMINGHAM, AL\|NASHVILLE, TN\|DECATUR, GA\|ALCOA, TN\|OAK RIDGE, TN\|KENNESAW, GA\|TUSCALOOSA, AL\|TUSCALOOSA, AL\|BIRMINGHAM, AL\|INDIANAPOLIS, IN\|BLUE SPRINGS, MO\|N. CHARLESTON, SC\|ATLANTA, GA\|Kennesaw, GA\|FORT WAYNE, IN\|DEFIANCE, OH\|NORCROSS, GA\|FORT WAYNE, IN\|EAST CHICAGO, IN\|DULUTH, GA\|SUMTER, SC\|HARTSVILLE, SC\|LAFAYETTE, IN\|DULUTH, GA\|COLUMBUS, IN\|DALTON, GA\|LILBURN, GA\|MONTGOMERY, AL\|GOSHEN, IN\|WAKARUSA, IN\|BRENTWOOD, TN\|CHARLESTON, SC\|LAFAYETTE, IN\|ATLANTA, GA\|LAWRENCEVILLE, GA\|LAFAYETTE, IN\|LEXINGTON, SC\|ALBERTVILLE, AL\|COLUMBIA, SC\|MILLINGTON, TN\|ATLANTA, GA\|EVANS, GA\|WARSAW, IN\|COLUMBIA, SC\|MURFREESBORO, TN\|SELLERSBURG, IN\|IRMO, SC\|CHARLESTON, SC\|CORDOVA, TN\|FOLEY, AL\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|KENNESAW, GA\|CHATTANOOGA, TN\|N CHARLESTON, SC\|SUMMERVILLE, SC\|NEW ALBANY, IN\|KNOXVILLE, TN\|INDIANAPOLIS, IN\|WAVERLY, IA\|Floral City, FL\|Inverness, FL\|Inverness, FL\|WAVERLY, IA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 10, 2003	Feb 4, 2003	no	RALEIGH, NC	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
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	Jun 6, 2022	May 18, 2022	-19	Firm change	Ibd to RIA
UBS FINANCIAL SERVICES INC.	CUNA BROKERAGE SERVICES, INC.	Feb 4, 2003	Feb 18, 2003	14	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
13941:6413:IA:2022-06-06	Jun 6, 2022	May 18, 2022	WAVERLY, IA	Firm change

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 18, 2022 to presentfactForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Feb 18, 2003 to Jun 6, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 10, 2003 to Feb 4, 2003factForm ADV

Dated events

Occurred
Jun 6, 2022
Advisor changed firm
Kim Marie Pruitt left Cuna Brokerage Services, Inc. for Lpl Financial Llc (registered 2022-05-18)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0dfd0188-96b1-a7fc-86da-a6a6fa05004e
First observed: Jan 10, 2003
Last observed: Sep 14, 2026 4 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.

KIM MARIE PRUITT

Advisor at LPL FINANCIAL LLC

INVERNESS, FL | WAVERLY, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0dfd0188-96b1-a7fc-86da-a6a6fa05004e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:39 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

May 18, 2022

n/a

yes

WAVERLY, IA|INVERNESS, FL

Current employment

CUNA BROKERAGE SERVICES, INC.

Former SEC adviser

Feb 18, 2003

Jun 6, 2022

Previous registration

UBS FINANCIAL SERVICES INC.

Wirehouse

Jan 10, 2003

Feb 4, 2003

RALEIGH, NC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CUNA BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

Jun 6, 2022

May 18, 2022

-19

Firm change

Ibd to RIA

UBS FINANCIAL SERVICES INC.

CUNA BROKERAGE SERVICES, INC.

Feb 4, 2003

Feb 18, 2003

Firm change

Other

Team

Left

Joined

From

Kind

13941:6413:IA:2022-06-06

Jun 6, 2022

May 18, 2022

WAVERLY, IA

Firm change