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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

Leilani Lyn Shortt

Advisor at LPL FINANCIAL LLC

ROUND ROCK, TX | AUSTIN, TX

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:23d7af50-adc3-c7d8-bf6c-c4aa0c474f44

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2019 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: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Dec 12, 2018
First registration: Jan 19, 2019
Dual registered: yes, broker-dealer
Other names: Leilani L Wood|Leilani Shortt|Leilani Lyn Wood
IAPD individual key: 7059823

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	Nov 30, 2020	n/a	yes	AUSTIN, TX\|ROUND ROCK, TX	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	Dec 1, 2020	no	AUSTIN, TX	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	May 14, 2020	Nov 12, 2020	no	Austin, TX	Previous registration
AVION WEALTH	Independent wealth	Jan 19, 2019	Nov 1, 2019	no	THE WOODLANDS, TX	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	Dec 1, 2020	Nov 30, 2020	-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
AVION WEALTH	FIRST ALLIED ADVISORY SERVICES, INC.	Nov 1, 2019	May 14, 2020	195	Firm change	RIA to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:6413:TX:2020-11-30	Dec 1, 2020	Nov 30, 2020	AUSTIN, TX	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 30, 2020 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Nov 12, 2020 to Dec 1, 2020factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
May 14, 2020 to Nov 12, 2020factForm ADV
→ AVION WEALTHRegistered adviserregistration: previous registration
Jan 19, 2019 to Nov 1, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23d7af50-adc3-c7d8-bf6c-c4aa0c474f44
First observed: Jan 19, 2019
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Leilani Lyn Shortt

Advisor at LPL FINANCIAL LLC

ROUND ROCK, TX | AUSTIN, TX

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:23d7af50-adc3-c7d8-bf6c-c4aa0c474f44

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Nov 30, 2020

n/a

yes

AUSTIN, TX|ROUND ROCK, TX

Current employment

CETERA INVESTMENT ADVISERS LLC

Bd affiliated wealth

Nov 12, 2020

Dec 1, 2020

AUSTIN, TX

Previous registration

FIRST ALLIED ADVISORY SERVICES, INC.

Former SEC adviser

May 14, 2020

Nov 12, 2020

Austin, TX

Previous registration

AVION WEALTH

Independent wealth

Jan 19, 2019

Nov 1, 2019

THE WOODLANDS, TX

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CETERA INVESTMENT ADVISERS LLC

LPL FINANCIAL LLC

Dec 1, 2020

Nov 30, 2020

-1

Firm change

Ibd to ibd

FIRST ALLIED ADVISORY SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

Nov 12, 2020

Bulk transfer

Ibd to ibd

AVION WEALTH

FIRST ALLIED ADVISORY SERVICES, INC.

Nov 1, 2019

May 14, 2020

195

Firm change

RIA to ibd

Team

Left

Joined

From

Kind

105644:6413:TX:2020-11-30

Dec 1, 2020

Nov 30, 2020

AUSTIN, TX

Firm change