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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Stephan Rogers

Advisor at LPL FINANCIAL LLC

CORAL SPRINGS, FL

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Search this name across graphsid dfx:ria:1ba05272-eb31-dad2-c36d-9bc745fd0720

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2000 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: Jan 28, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 20, 2005
First registration: Jan 28, 2000
Dual registered: yes, broker-dealer
Other names: STEPHAN LEE ROGERS
IAPD individual key: 3219910

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 6, 2025	n/a	yes	CORAL SPRINGS, FL	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	May 2, 2025	no	ROCKVILLE, MD\|ROCKVILLE, MD\|Coral Springs, FL	Previous registration
H. BECK, INC.	Former SEC adviser	Dec 26, 2017	Apr 1, 2021	no	Coral Springs, FL\|Rockville, MD\|ROCKVILLE, MD	Previous registration
BOLTON GLOBAL ASSET MANAGEMENT	Bd affiliated wealth	Jun 14, 2006	Dec 31, 2015	no	BOLTON, MA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 25, 2005	Nov 7, 2005	no	SAVANNAH, GA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 28, 2000	May 17, 2004	no	AVENTURA, FL	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
GROVE POINT ADVISORS, LLC	LPL FINANCIAL LLC	May 2, 2025	May 6, 2025	4	Bulk transfer	Ibd to ibd
H. BECK, INC.	GROVE POINT ADVISORS, LLC	Apr 1, 2021	Apr 1, 2021	0	Bulk transfer	Ibd to ibd
BOLTON GLOBAL ASSET MANAGEMENT	H. BECK, INC.	Dec 31, 2015	Dec 26, 2017	726	Firm change after gap	Other
WELLS FARGO ADVISORS	BOLTON GLOBAL ASSET MANAGEMENT	Nov 7, 2005	Jun 14, 2006	219	Firm change	Other
MORGAN STANLEY DW INC.	WELLS FARGO ADVISORS	May 17, 2004	Oct 25, 2005	526	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 6, 2025 to presentfactForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to May 2, 2025factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Dec 26, 2017 to Apr 1, 2021factForm ADV
→ BOLTON GLOBAL ASSET MANAGEMENTRegistered adviserregistration: previous registration
Jun 14, 2006 to Dec 31, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 25, 2005 to Nov 7, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 28, 2000 to May 17, 2004factForm ADV

Dated events

No dated event names this entity yet.