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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

FRANK MARIO AMELIO

Advisor at LPL FINANCIAL LLC

CARLSBAD, CA | MISSION VIEJO, CA

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Search this name across graphsid dfx:ria:2dc12e67-a9b1-e0cf-4741-950e214e14ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2002 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: Oct 1, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom 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: S63|S65
First exam: Oct 1, 1986
First registration: Jun 11, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1488977

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	Jan 19, 2025	n/a	yes	MISSION VIEJO, CA\|CARLSBAD, CA	Current employment
FOCUS INVESTMENT ADVISORS, INC	Institutional manager	Aug 6, 2013	Feb 14, 2025	no	SOLANA BEACH, CA	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	Dec 3, 2004	Jun 3, 2013	no	ENCINITAS, CA	Previous registration
MONY SECURITIES CORPORATION	n/a	Dec 2, 2003	Dec 3, 2004	no	ENCINITAS, CA	Previous registration
TRUSTED SECURITIES ADVISORS CORP.	n/a	Jun 11, 2002	Dec 2, 2003	no	ENCINITAS, 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
FOCUS INVESTMENT ADVISORS, INC	LPL FINANCIAL LLC	Feb 14, 2025	Jan 19, 2025	-26	Firm change	RIA to ibd
1ST GLOBAL ADVISORS INC	FOCUS INVESTMENT ADVISORS, INC	Jun 3, 2013	Aug 6, 2013	64	Firm change	Other
MONY SECURITIES CORPORATION	1ST GLOBAL ADVISORS INC	Dec 3, 2004	Dec 3, 2004	0	Firm change	Other
TRUSTED SECURITIES ADVISORS CORP.	MONY SECURITIES CORPORATION	Dec 2, 2003	Dec 2, 2003	0	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 19, 2025 to presentfactForm ADV
→ FOCUS INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Aug 6, 2013 to Feb 14, 2025factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
Dec 3, 2004 to Jun 3, 2013factForm ADV
→ MONY SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 2, 2003 to Dec 3, 2004factForm ADV
→ TRUSTED SECURITIES ADVISORS CORP.Registered adviserregistration: previous registration
Jun 11, 2002 to Dec 2, 2003factForm ADV

Dated events

Occurred
Feb 14, 2025
Advisor changed firm
Frank Mario Amelio left Focus Investment Advisors, Inc for Lpl Financial Llc (registered 2025-01-19)
Form ADVobserved 5 days ago