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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

STEVEN JOHN BERRY

Advisor at LPL FINANCIAL LLC

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:0e269959-63ff-57ba-2dae-2b6c81dbcc4d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2009 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: Nov 14, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 14, 1996
First registration: Apr 7, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 2814998

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 29, 2017	n/a	yes	HIBBING, MN\|SUPERIOR, WI\|POPLAR, WI\|SUPERIOR, WI\|ESKO, MN\|HERMANTOWN, MN\|SOLON SPRINGS, WI\|DULUTH, MN\|DULUTH, MN\|SUPERIOR, WI\|BEMIDJI, MN\|INTERNATIONAL FALLS, MN\|BAGLEY, MN\|BAUDETTE, MN\|MORRIS, MN\|BENSON, MN	Current employment
INVESTMENT CENTERS OF AMERICA, INC.	Former SEC adviser	Jan 20, 2012	Nov 29, 2017	no	BEMIDJI, MN\|APPLETON, WI	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jan 24, 2012	no	BEMIDJI, MN\|BEMIDJI, MN\|BAUDETTE, MN\|INTERNATIONAL FALLS, MN\|DULUTH, MN\|BLACKDUCK, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 7, 2009	Jan 3, 2011	no	BEMIDJI, MN\|BLACKDUCK, MN\|BEMIDJI, MN	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
INVESTMENT CENTERS OF AMERICA, INC.	LPL FINANCIAL LLC	Nov 29, 2017	Nov 29, 2017	0	Bulk transfer	Other
WELLS FARGO ADVISORS	INVESTMENT CENTERS OF AMERICA, INC.	Jan 24, 2012	Jan 20, 2012	-4	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviserregistration: previous registration
Jan 20, 2012 to Nov 29, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jan 24, 2012factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 7, 2009 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e269959-63ff-57ba-2dae-2b6c81dbcc4d
First observed: Apr 7, 2009
Last observed: Sep 15, 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.

STEVEN JOHN BERRY

Advisor at LPL FINANCIAL LLC

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:0e269959-63ff-57ba-2dae-2b6c81dbcc4d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.