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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

PAUL SHANNON FREYER

Advisor at LPL FINANCIAL LLC

NEWPORT BEACH, CA | Stamford, CT | BRONX, NY

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Search this name across graphsid dfx:ria:227c990a-6965-1bd5-41ea-ee3121f4906e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 8, 2012 to Sep 15, 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 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jun 6, 2012
First registration: Jun 8, 2012
Dual registered: yes, broker-dealer
IAPD individual key: 1192815

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	Dec 3, 2024	n/a	yes	BRONX, NY\|Stamford, CT\|NEWPORT BEACH, CA	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 25, 2022	Dec 24, 2024	no	New York, NY\|Bronx, NY\|Stamford, CT	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Sep 18, 2018	Dec 31, 2022	no	New York, NY\|Bronx NY, NY\|Stamford, CT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 8, 2012	Sep 17, 2018	no	New York, NY\|New York, NY	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
B. RILEY WEALTH ADVISORS, INC.	LPL FINANCIAL LLC	Dec 24, 2024	Dec 3, 2024	-21	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Aug 25, 2022	-128	Bulk transfer	Ibd to ibd
MORGAN STANLEY	B RILEY WEALTH MANAGEMENT	Sep 17, 2018	Sep 18, 2018	1	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 3, 2024 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 25, 2022 to Dec 24, 2024factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 18, 2018 to Dec 31, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 8, 2012 to Sep 17, 2018factForm ADV

Dated events

Occurred
Dec 24, 2024
Advisor changed firm
Paul Shannon Freyer left B. Riley Wealth Advisors, Inc. for Lpl Financial Llc (registered 2024-12-03)
Form ADVobserved 5 days ago