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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

ROBERT D. CANO

Advisor at LPL FINANCIAL LLC

ORANGE, CA | VILLA PARK, CA

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Search this name across graphsid dfx:ria:2714013f-8a6b-c59b-7747-51a5e4b297bb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2009 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: Nov 20, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 20, 2009
First registration: Nov 23, 2009
Dual registered: yes, broker-dealer
Other names: ROBERT DAVID CANO|ROBERT D CANO
IAPD individual key: 5709836

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	May 30, 2013	n/a	yes	ORANGE, CA\|VILLA PARK, CA	Current employment
CONCERT ADVISORS	Former SEC adviser	Sep 18, 2012	Jul 18, 2013	no	IRVINE, CA\|SAN JOSE, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 22, 2010	Sep 26, 2012	no	NEWPORT BEACH, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 13, 2010	Dec 17, 2010	no	LAGUNA HILLS, CA	Previous registration
MORGAN STANLEY	Wirehouse	Nov 23, 2009	Oct 6, 2010	no	SANTA ANA, 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
CONCERT ADVISORS	LPL FINANCIAL LLC	Jul 18, 2013	May 30, 2013	-49	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	CONCERT ADVISORS	Sep 26, 2012	Sep 18, 2012	-8	Firm change	Wirehouse to new firm
CHASE INVESTMENT SERVICES CORP.	UBS FINANCIAL SERVICES INC.	Dec 17, 2010	Dec 22, 2010	5	Firm change	Other
MORGAN STANLEY	CHASE INVESTMENT SERVICES CORP.	Oct 6, 2010	Oct 13, 2010	7	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 30, 2013 to presentfactForm ADV
→ CONCERT ADVISORSRegistered adviserregistration: previous registration
Sep 18, 2012 to Jul 18, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 22, 2010 to Sep 26, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 13, 2010 to Dec 17, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 23, 2009 to Oct 6, 2010factForm ADV

Dated events

No dated event names this entity yet.