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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

GEOFF LOUIS GRABE

Advisor at LPL FINANCIAL LLC

CLOVIS, CA | FRESNO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 9, 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: May 15, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 15, 2000
First registration: Aug 9, 2002
Dual registered: yes, broker-dealer
Other names: GEOFF GRABE
IAPD individual key: 3117036

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	Jul 19, 2023	n/a	yes	FRESNO, CA\|FRESNO, CA\|FRESNO, CA\|CLOVIS, CA\|CLOVIS, CA	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	May 16, 2011	Jul 19, 2023	no	TULARE, CA\|BAKERSFIELD, CA\|CLOVIS, CA\|FRESNO, CA\|FRESNO, CA\|VISALIA, CA\|SANGER, CA\|PARLIER, CA\|FRESNO, CA\|DINUBA, CA\|OROSI, CA\|RIVERDALE, CA\|FRESNO, CA\|FRESNO, CA\|SANGER, CA\|RIVERDALE, CA\|FRESNO, CA	Previous registration
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Jan 19, 2011	May 31, 2011	no	MADERA, CA\|SAN DIEGO, CA\|DOS PALOS, CA\|LOS PACHECO, CA\|KINGSBURG, CA\|FRESNO, CA\|SELMA, CA\|FRESNO, CA\|KERMAN, CA\|FIREBAUGH, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 4, 2008	Jan 31, 2011	no	MADERA, CA\|SANTA ROSA, CA\|EASTON, CA\|KERMAN, CA\|FRESNO, CA\|FRESNO, CA\|SELMA, CA\|FIREBAUGH, CA\|MADERA, CA\|FRESNO, CA\|FRESNO, CA\|MENDOTA, CA\|FIREBAUGH, CA\|DOS PALOS, CA\|DOS PALOS, CA\|LOS BANOS, CA\|LOS BANOS, CA\|DOS PALOS, CA\|FRESNO, CA\|FRESNO, CA	Previous registration
IFMG SECURITIES, INC.	n/a	Jan 6, 2005	Mar 4, 2008	no	SELMA, CA\|FRESNO, CA\|SANTA ROSA, CA\|EASTON, CA\|FRESNO, CA\|FRESNO, CA\|MADERA, CA\|KERMAN, CA\|FIREBAUGH, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Sep 30, 2003	Jan 7, 2005	no	FRESNO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 9, 2002	Oct 3, 2003	no	FRESNO, 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
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
SORRENTO PACIFIC FINANCIAL, LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	May 31, 2011	May 16, 2011	-15	Firm change	Other
LPL FINANCIAL LLC	SORRENTO PACIFIC FINANCIAL, LLC	Jan 31, 2011	Jan 19, 2011	-12	Firm change	Other
IFMG SECURITIES, INC.	LPL FINANCIAL LLC	Mar 4, 2008	Mar 4, 2008	0	Bulk transfer	Other
CITICORP INVESTMENT SERVICES	IFMG SECURITIES, INC.	Jan 7, 2005	Jan 6, 2005	-1	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	CITICORP INVESTMENT SERVICES	Oct 3, 2003	Sep 30, 2003	-3	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 4, 2008 to Jan 31, 2011factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
May 16, 2011 to Jul 19, 2023factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Jan 19, 2011 to May 31, 2011factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Jan 6, 2005 to Mar 4, 2008factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Sep 30, 2003 to Jan 7, 2005factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 9, 2002 to Oct 3, 2003factForm ADV

Dated events

No dated event names this entity yet.