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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

ANDREW JAMES METCALF

Advisor at LPL FINANCIAL LLC

MEMPHIS, TN

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Search this name across graphsid dfx:ria:112753c6-08bf-ba2c-0eb2-a4cfbda4ecbb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2008 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: Sep 25, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 25, 2008
First registration: Sep 29, 2008
Dual registered: yes, broker-dealer
Other names: ANDY JAMES METCALF
IAPD individual key: 5536779

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	Apr 15, 2021	n/a	yes	MEMPHIS, TN	Current employment
MORGAN STANLEY	Wirehouse	Mar 12, 2015	May 18, 2021	no	Little Rock, AR\|Memphis, TN	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Aug 26, 2013	Feb 19, 2015	no	Memphis, TN\|HARTVILLE, OH\|Mayfield Heights, OH\|TUSCALOOSA, AL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 2, 2013	Aug 27, 2013	no	MEMPHIS, TN	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Feb 26, 2013	no	MEMPHIS, TN	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Sep 21, 2010	Feb 13, 2013	no	MEMPHIS, TN	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Sep 29, 2008	Jan 4, 2010	no	JACKSON, TN	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
MORGAN STANLEY	LPL FINANCIAL LLC	May 18, 2021	Apr 15, 2021	-33	Firm change after gap	Wirehouse to ibd
B RILEY WEALTH MANAGEMENT	MORGAN STANLEY	Feb 19, 2015	Mar 12, 2015	21	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	B RILEY WEALTH MANAGEMENT	Aug 27, 2013	Aug 26, 2013	-1	Firm change	Other
RAYMOND JAMES & ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Feb 26, 2013	Jul 2, 2013	126	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 15, 2021 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 12, 2015 to May 18, 2021factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Aug 26, 2013 to Feb 19, 2015factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jul 2, 2013 to Aug 27, 2013factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Feb 26, 2013factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Sep 21, 2010 to Feb 13, 2013factForm ADV

Dated events

No dated event names this entity yet.