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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Steven Alan Rogers

Advisor at LPL FINANCIAL LLC

Albuquerque, NM | SAN DIEGO, CA | ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:1de35fd3-c5d4-bda4-a1be-9f6bde0641ad

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 25, 2005 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: May 23, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 23, 2005
First registration: May 25, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4920256

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\|Albuquerque, NM\|SAN DIEGO, CA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Nov 7, 2025	no	ALBUQUERQUE, NM	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 3, 2018	Nov 2, 2018	no	ALBUQUERQUE, NM	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Jan 14, 2016	Dec 19, 2017	no	Albuquerque, NM	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Nov 20, 2015	no	MINNEAPOLIS, MN\|ALBUQUERQUE, NM\|ALBUQUERQUE, NM\|CHARLOTTE, NC	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 25, 2005	Jan 3, 2011	no	ALBUQUERQUE, NM\|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 7, 2025	Nov 5, 2025	-2	Firm change	Ibd to ibd
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
PNC MANAGED ACCOUNT SOLUTIONS, INC.	SIGNATOR INVESTORS, INC.	Dec 19, 2017	May 3, 2018	135	Firm change	Other
WELLS FARGO ADVISORS	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Nov 20, 2015	Jan 14, 2016	55	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 5, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Nov 7, 2025factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 3, 2018 to Nov 2, 2018factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Jan 14, 2016 to Dec 19, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Nov 20, 2015factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 25, 2005 to Jan 3, 2011factForm ADV

Dated events

Occurred
Nov 7, 2025
Advisor changed firm
Steven Alan Rogers left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2025-11-05)
Form ADVobserved 3 days ago