DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

BRIAN KEITH WATTS

Advisor at LPL FINANCIAL LLC

OVERLAND PARK, KS

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:20186f7d-2770-6a4e-7d7e-1a6bf9d363ad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 27, 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: Nov 26, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 26, 2008
First registration: Nov 27, 2008
Dual registered: yes, broker-dealer
Other names: BRIAN WATTS
IAPD individual key: 5517427

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	Mar 28, 2025	n/a	yes	OVERLAND PARK, KS	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	Apr 2, 2025	no	KANSAS CITY, MO	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 12, 2019	Jun 14, 2024	no	KANSAS CITY, MO	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jun 26, 2014	Sep 12, 2019	no	OVERLAND PARK, KS	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Dec 2, 2010	Jul 9, 2014	no	SAINT LOUIS, MO\|KANSAS CITY, MO\|ST LOUIS, MO	Previous registration
WADDELL & REED	Former SEC adviser	Nov 27, 2008	Nov 30, 2010	no	INDEPENDENCE, MO	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	Apr 2, 2025	Mar 28, 2025	-5	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
COMMONWEALTH FINANCIAL NETWORK	SECURITIES AMERICA ADVISORS, INC.	Sep 12, 2019	Sep 12, 2019	0	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	COMMONWEALTH FINANCIAL NETWORK	Jul 9, 2014	Jun 26, 2014	-13	Firm change	Other
WADDELL & REED	SECURITIES AMERICA ADVISORS, INC.	Nov 30, 2010	Dec 2, 2010	2	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 28, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 14, 2024 to Apr 2, 2025factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 12, 2019 to Jun 14, 2024factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jun 26, 2014 to Sep 12, 2019factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Nov 27, 2008 to Nov 30, 2010factForm ADV

Dated events

Occurred
Apr 2, 2025
Advisor changed firm
Brian Keith Watts left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2025-03-28)
Form ADVobserved 4 days ago