DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

TINA LOUISE WELLS LEE

Advisor at LPL FINANCIAL LLC

STOCKTON, CA

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:2169aa49-eecb-5426-3d8e-17b0cc64780e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2001 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: Sep 13, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Sep 13, 1996
First registration: Mar 30, 2001
Dual registered: yes, broker-dealer
Other names: TINA L WELLS|TINA LOUISE WELLS|L TINA WELLS|TINA LOUISE WELLSLEE
IAPD individual key: 2657810

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 28, 2021	n/a	yes	STOCKTON, CA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	Jun 29, 2021	no	STOCKTON, CA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	STOCKTON, CA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Apr 13, 2010	Jul 2, 2012	no	STOCKTON, CA\|SAN DIEGO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Apr 13, 2010	no	STOCKTON, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Mar 30, 2001	Jan 1, 2008	no	STOCKTON, CA\|STOCKTON, CA\|ST. LOUIS, 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
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Jun 29, 2021	Jun 28, 2021	-1	Firm change	Ibd to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
WELLS FARGO ADVISORS	FIRST ALLIED SECURITIES, INC.	Apr 13, 2010	Apr 13, 2010	0	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 28, 2021 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Nov 12, 2020 to Jun 29, 2021factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Apr 13, 2010 to Jul 2, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Apr 13, 2010factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Mar 30, 2001 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.