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.

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 12, 1992earliest registration or exam on IAPD

Years in industry

34derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

4

Current registrations

1

Registered states

2

Exams

S66|S63

First exam

May 12, 1992

First registration

Jun 30, 2006

Dual registered

yes, broker-dealer

IAPD individual key

1993777

• Occurred

  May 15, 2025
  Advisor changed firm

  Adam Louis Nieto left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:288591c8-05cc-64ec-c17f-08481a0eab9c

First observed

Jun 30, 2006

Last observed

Sep 14, 2026 7 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.