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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)26 years in industry

MARK JAY NAPOLIN

Advisor at LPL FINANCIAL LLC

ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:10a933c5-1eee-cf8d-ff3c-2c69e1a9fe03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 23, 2002 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: Feb 14, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S63
First exam: Feb 14, 2000
First registration: Oct 23, 2002
Dual registered: yes, broker-dealer
Other names: MARK J NAPOLIN
IAPD individual key: 824546

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 5, 2025	n/a	yes	ALBUQUERQUE, NM	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Nov 25, 2025	no	ALBUQUERQUE, NM	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Nov 2, 2018	no	ALBUQUERQUE, NM	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Sep 4, 2009	May 13, 2016	no	ALBUQUERQUE, NM	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, INC.	n/a	Oct 23, 2002	Sep 4, 2009	no	ALBUQUERQUE, NM	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 WEALTH, INC.	LPL FINANCIAL LLC	Nov 25, 2025	Nov 5, 2025	-20	Firm change	Ibd to ibd
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	0	Bulk transfer	Other
TRANSAMERICA FINANCIAL ADVISORS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Sep 4, 2009	Sep 4, 2009	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
23131:6413:NM:2025-11-25	Nov 25, 2025	Nov 5, 2025	ALBUQUERQUE, NM	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 5, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Nov 25, 2025factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Nov 2, 2018factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 4, 2009 to May 13, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 23, 2002 to Sep 4, 2009factForm ADV

Dated events

Occurred
Nov 25, 2025
Advisor changed firm
Mark Jay Napolin left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2025-11-05)
Form ADVobserved 3 days ago