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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

DOUGLAS OGDEN ELLIOTT

Advisor at LPL FINANCIAL LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:217c2dab-2c0f-b44b-cfb6-fe912f3acb16

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 15, 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: Mar 25, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 25, 1985
First registration: Nov 15, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1347280

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	Sep 19, 2024	n/a	yes	HOUSTON, TX	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Jan 28, 2011	Sep 26, 2024	no	HOUSTON, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Feb 1, 2011	no	HOUSTON, TX	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jul 16, 2009	Oct 5, 2009	no	SUGAR LAND, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Apr 20, 2009	no	SUGAR LAND, TX	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Nov 15, 2002	Jan 1, 2008	no	SUGAR LAND, TX\|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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	LPL FINANCIAL LLC	Sep 26, 2024	Sep 19, 2024	-7	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Feb 1, 2011	Jan 28, 2011	-4	Firm change	Ibd to ibd
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	AMERIPRISE ADVISOR SERVICES, INC.	Apr 20, 2009	Jul 16, 2009	87	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
Sep 19, 2024 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Jan 28, 2011 to Sep 26, 2024factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Feb 1, 2011factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jul 16, 2009 to Oct 5, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Apr 20, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Nov 15, 2002 to Jan 1, 2008factForm ADV

Dated events

Occurred
Sep 26, 2024
Advisor changed firm
Douglas Ogden Elliott left Stifel, Nicolaus & Company, Incorporated for Lpl Financial Llc (registered 2024-09-19)
Form ADVobserved 5 days ago