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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Carolyn Rebecca Wyatt

Advisor at LPL FINANCIAL LLC

GLENDORA, CA

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Search this name across graphsid dfx:ria:203f8b56-dc30-43c6-a9ef-7e9a8dd4514a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 4, 2002 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 23, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 23, 2001
First registration: Jan 4, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4071929

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	Jun 5, 2025	n/a	yes	GLENDORA, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jun 21, 2022	Jun 5, 2025	no	Glendora, CA\|Pasadena, CA\|Campbell, CA	Previous registration
M STEVENS WEALTH ADVISORS, LLC	State registered	Oct 23, 2018	Jul 7, 2022	no	LAS VEGAS, NV	Previous registration
KINGSWOOD WEALTH ADVISORS, LLC	Bd affiliated wealth	Jul 30, 2018	Sep 18, 2018	no	Costa Mesa, CA\|SAN DIEGO, CA	Previous registration
WADDELL & REED	Former SEC adviser	Oct 10, 2014	Jul 26, 2018	no	SEAL BEACH, CA\|IRVINE, CA\|LAS VEGAS, NV	Previous registration
D.A. DAVIDSON & CO.	Independent wealth	Nov 25, 2013	Oct 13, 2014	no	NEWPORT BEACH, CA	Previous registration
CROWELL WEEDON & CO.	Former SEC adviser	Nov 4, 2013	Nov 25, 2013	no	NEWPORT BEACH, CA	Previous registration
CROWELL, WEEDON & CO.	Former SEC adviser	Jan 4, 2002	Nov 4, 2013	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA	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
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
M STEVENS WEALTH ADVISORS, LLC	WESTERN INTERNATIONAL SECURITIES	Jul 7, 2022	Jun 21, 2022	-16	Firm change	Other
KINGSWOOD WEALTH ADVISORS, LLC	M STEVENS WEALTH ADVISORS, LLC	Sep 18, 2018	Oct 23, 2018	35	Firm change	RIA to state RIA
WADDELL & REED	KINGSWOOD WEALTH ADVISORS, LLC	Jul 26, 2018	Jul 30, 2018	4	Firm change	Ibd to RIA
D.A. DAVIDSON & CO.	WADDELL & REED	Oct 13, 2014	Oct 10, 2014	-3	Firm change	Other
CROWELL WEEDON & CO.	D.A. DAVIDSON & CO.	Nov 25, 2013	Nov 25, 2013	0	Bulk transfer	Other
CROWELL, WEEDON & CO.	CROWELL WEEDON & CO.	Nov 4, 2013	Nov 4, 2013	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
288792:291482:CA:2018-09-18	Sep 18, 2018	Oct 23, 2018	SAN DIEGO, CA	Firm change

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jun 21, 2022 to Jun 5, 2025factForm ADV
→ M STEVENS WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 23, 2018 to Jul 7, 2022factForm ADV
→ KINGSWOOD WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 30, 2018 to Sep 18, 2018factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Oct 10, 2014 to Jul 26, 2018factForm ADV
→ D.A. DAVIDSON & CO.Registered adviserregistration: previous registration
Nov 25, 2013 to Oct 13, 2014factForm ADV
→ CROWELL WEEDON & CO.Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ CROWELL, WEEDON & CO.Registered adviserregistration: previous registration
Jan 4, 2002 to Nov 4, 2013factForm ADV

Dated events

Occurred
Jul 7, 2022
Advisor changed firm
Carolyn Rebecca Wyatt left M Stevens Wealth Advisors, Llc for Western International Securities (registered 2022-06-21)
Form ADVobserved 6 days ago