DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JOSEPH FRANCIS GASPARI

Advisor at LPL FINANCIAL LLC

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:20063fff-e99e-d7de-f152-56013da36dbb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 4, 2004 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 18, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Feb 18, 2004
First registration: Jun 4, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4744824

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	Aug 14, 2013	n/a	yes	CHICAGO, IL	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 13, 2011	Aug 14, 2013	no	SCHAUMBURG, IL\|SCHAUMBURG, IL\|HOFFMAN ESTATES, IL\|ELK GROVE VILLAGE, IL\|ELGIN, IL\|ELGIN, IL\|ELGIN, IL\|ELGIN, IL\|WEST DUNDEE, IL\|ROCKFORD, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 25, 2006	Sep 8, 2011	no	BLOOMINGDALE, IL\|ELGIN, IL\|PALATINE, IL\|ELGIN, IL	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jun 4, 2004	May 25, 2006	no	ROSELLE, IL\|ROSELLE, IL	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
PNC WEALTH MANAGEMENT	LPL FINANCIAL LLC	Aug 14, 2013	Aug 14, 2013	0	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	PNC WEALTH MANAGEMENT	Sep 8, 2011	Sep 13, 2011	5	Firm change	Other
THRIVENT INVESTMENT MANAGEMENT INC.	CHASE INVESTMENT SERVICES CORP.	May 25, 2006	May 25, 2006	0	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 14, 2013 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 13, 2011 to Aug 14, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 25, 2006 to Sep 8, 2011factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jun 4, 2004 to May 25, 2006factForm ADV

Dated events

No dated event names this entity yet.