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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

BRETT MATTHEW RAMSEY

Advisor at LPL FINANCIAL LLC

CARMEL, IN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 19, 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: Oct 8, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Oct 8, 2002
First registration: Feb 19, 2003
Dual registered: yes, broker-dealer
Other names: BRETT RAMSEY
IAPD individual key: 4590083

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	Jul 21, 2021	n/a	yes	CARMEL, IN	Current employment
WADDELL & REED	Former SEC adviser	Mar 30, 2020	Jul 21, 2021	no	CARMEL, IN\|CHARLEROI, PA	Previous registration
SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY	Former SEC adviser	Sep 4, 2018	Apr 8, 2020	no	Indianapolis, IN\|NORTHBROOK, IL	Previous registration
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Apr 26, 2016	Dec 31, 2018	no	INDIANAPOLIS, IN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 19, 2015	Nov 25, 2015	no	INDIANAPOLIS, IN\|AKRON, OH\|GREENWOOD, IN\|GREENWOOD, IN\|INDIANAPOLIS, IN\|FORT MYERS, FL	Previous registration
NOVUS WEALTH ADVISORS	n/a	Oct 15, 2014	Dec 15, 2017	no	INDIANAPOLIS, IN	Previous registration
WFG ADVISORS, LP	Former SEC adviser	Jun 22, 2010	Oct 6, 2014	no	GREENWOOD, IN	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Sep 24, 2003	Jun 24, 2010	no	GREENWOOD, IN	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Feb 19, 2003	Sep 29, 2003	no	INDIANAPOLIS, IN	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY	WADDELL & REED	Apr 8, 2020	Mar 30, 2020	-9	Firm change	Other
INDEPENDENT FINANCIAL PARTNERS	SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY	Dec 31, 2018	Sep 4, 2018	-118	Firm change after gap	Ibd to new firm
NOVUS WEALTH ADVISORS	LPL FINANCIAL LLC	Dec 15, 2017	Nov 19, 2015	-757	Firm change after gap	Other
LPL FINANCIAL LLC	INDEPENDENT FINANCIAL PARTNERS	Nov 25, 2015	Apr 26, 2016	153	Firm change	Other
WFG ADVISORS, LP	NOVUS WEALTH ADVISORS	Oct 6, 2014	Oct 15, 2014	9	Firm change	Other
FSC SECURITIES CORPORATION	WFG ADVISORS, LP	Jun 24, 2010	Jun 22, 2010	-2	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	FSC SECURITIES CORPORATION	Sep 29, 2003	Sep 24, 2003	-5	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
6413:125112:FL:2015-11-13	Nov 25, 2015	Apr 26, 2016	FORT MYERS, FL	Firm change

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 19, 2015 to Nov 25, 2015factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Mar 30, 2020 to Jul 21, 2021factForm ADV
→ SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANYRegistered adviserregistration: previous registration
Sep 4, 2018 to Apr 8, 2020factForm ADV
→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: previous registration
Apr 26, 2016 to Dec 31, 2018factForm ADV
→ NOVUS WEALTH ADVISORSRegistered adviserregistration: previous registration
Oct 15, 2014 to Dec 15, 2017factForm ADV
→ WFG ADVISORS, LPRegistered adviserregistration: previous registration
Jun 22, 2010 to Oct 6, 2014factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 24, 2003 to Jun 24, 2010factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 19, 2003 to Sep 29, 2003factForm ADV

Dated events

No dated event names this entity yet.