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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Ria Gost

Advisor at LPL FINANCIAL LLC

Carlsbad, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:23bd537c-6ea0-a20e-d044-884395a06891

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2006 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: Jul 5, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jul 5, 1996
First registration: Feb 10, 2006
Dual registered: yes, broker-dealer
Other names: RIA MARLENE GOST|RIA M GOST
IAPD individual key: 2762417

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	Aug 19, 2026	n/a	yes	Carlsbad, CA\|SAN DIEGO, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 29, 2026	Apr 30, 2026	no	CARLSBAD, CA\|SAN DIEGO, CA	Previous registration
SCF INVESTMENT ADVISORS, INC.	Former SEC adviser	Mar 3, 2022	Sep 30, 2025	no	SAN DIEGO, CA\|CARLSBAD, CA	Previous registration
AXOS INVEST, INC	Independent wealth	Mar 16, 2020	Dec 7, 2020	no	LAS VEGAS, NV\|San Diego, CA	Previous registration
KINGSWOOD WEALTH ADVISORS, LLC	Bd affiliated wealth	Jul 5, 2018	Feb 19, 2019	no	SAN DIEGO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 12, 2015	Jun 26, 2018	no	SAN DIEGO, CA	Previous registration
SPROTT ASSET MANAGEMENT USA INC.	Mixed wealth	Feb 10, 2006	Dec 17, 2012	no	DARIEN, CT	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
SCF INVESTMENT ADVISORS, INC.	LPL FINANCIAL LLC	Sep 30, 2025	Apr 29, 2026	211	Channel change	Ibd to ibd
AXOS INVEST, INC	SCF INVESTMENT ADVISORS, INC.	Dec 7, 2020	Mar 3, 2022	451	Firm change after gap	RIA to ibd
KINGSWOOD WEALTH ADVISORS, LLC	AXOS INVEST, INC	Feb 19, 2019	Mar 16, 2020	391	Firm change	RIA to RIA
CUSO FINANCIAL SERVICES, L.P.	KINGSWOOD WEALTH ADVISORS, LLC	Jun 26, 2018	Jul 5, 2018	9	Firm change	Ibd to RIA
SPROTT ASSET MANAGEMENT USA INC.	CUSO FINANCIAL SERVICES, L.P.	Dec 17, 2012	Jan 12, 2015	756	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 29, 2026 to Apr 30, 2026factForm ADV
→ SCF INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Mar 3, 2022 to Sep 30, 2025factForm ADV
→ AXOS INVEST, INCRegistered adviserregistration: previous registration
Mar 16, 2020 to Dec 7, 2020factForm ADV
→ KINGSWOOD WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 5, 2018 to Feb 19, 2019factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 12, 2015 to Jun 26, 2018factForm ADV
→ SPROTT ASSET MANAGEMENT USA INC.Registered adviserregistration: previous registration
Feb 10, 2006 to Dec 17, 2012factForm ADV

Dated events

No dated event names this entity yet.