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

ROBERT PAUL ABRAHAM

Advisor at LPL FINANCIAL LLC

ROCHESTER, MI

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Search this name across graphsid dfx:ria:2799eee0-22d8-c8b2-313b-dfac9b364637

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 3, 2010 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: Jun 23, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 23, 2010
First registration: Aug 3, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 5480510

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 19, 2023	n/a	yes	ROCHESTER, MI	Current employment
Spc	Bd affiliated wealth	Sep 15, 2022	May 19, 2023	no	ANN ARBOR, MI\|Rochester, MI	Previous registration
SPECTRUM FINANCIAL RESOURCES	Independent wealth	Oct 2, 2014	Sep 21, 2022	no	TROY, MI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 3, 2010	Sep 29, 2014	no	Bloomfield Hills, MI\|TROY, MI\|TROY, MI	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
Spc	LPL FINANCIAL LLC	May 19, 2023	May 19, 2023	0	Bulk transfer	Ibd to ibd
SPECTRUM FINANCIAL RESOURCES	Spc	Sep 21, 2022	Sep 15, 2022	-6	Firm change	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	SPECTRUM FINANCIAL RESOURCES	Sep 29, 2014	Oct 2, 2014	3	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Sep 15, 2022 to May 19, 2023factForm ADV
→ SPECTRUM FINANCIAL RESOURCESRegistered adviserregistration: previous registration
Oct 2, 2014 to Sep 21, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 3, 2010 to Sep 29, 2014factForm ADV

Dated events

Occurred
Sep 21, 2022
Advisor changed firm
Robert Paul Abraham left Spectrum Financial Resources for Spc (registered 2022-09-15)
Form ADVobserved 4 days ago