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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

FRED J ABBOTT

Advisor at LPL FINANCIAL LLC

WESTERVILLE, OH

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Search this name across graphsid dfx:ria:35c1c66c-d1d3-e81c-78cf-6ed29f070977

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 23, 1997 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: Apr 4, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Apr 4, 1994
First registration: Jun 23, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 2278230

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	Oct 7, 2020	n/a	yes	WESTERVILLE, OH	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 18, 2020	Oct 9, 2020	no	LA VISTA, NE	Previous registration
SSN ADVISORY, INC.	Former SEC adviser	Aug 30, 2016	Sep 18, 2020	no	Westerville, OH	Previous registration
AMERITAS ADVISORY SERVICES	Former SEC adviser	Jun 30, 2006	Sep 23, 2016	no	NORTH HAVEN, CT\|GUILFORD, CT\|LINCOLN, NE\|WESTERVILLE, OH	Previous registration
CARILLON INVESTMENTS, INC.	n/a	Aug 26, 2002	Jun 30, 2006	no	GUILFORD, CT\|GUILFORD, CT\|NORTH HAVEN, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 23, 1997	Jul 17, 2002	no	NEW LONDON, CT	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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Oct 9, 2020	Oct 7, 2020	-2	Firm change	Ibd to ibd
SSN ADVISORY, INC.	SECURITIES AMERICA ADVISORS, INC.	Sep 18, 2020	Sep 18, 2020	0	Bulk transfer	Ibd to ibd
AMERITAS ADVISORY SERVICES	SSN ADVISORY, INC.	Sep 23, 2016	Aug 30, 2016	-24	Firm change	Other
CARILLON INVESTMENTS, INC.	AMERITAS ADVISORY SERVICES	Jun 30, 2006	Jun 30, 2006	0	Firm change	Other
MSI FINANCIAL SERVICES, INC.	CARILLON INVESTMENTS, INC.	Jul 17, 2002	Aug 26, 2002	40	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
110518:6413:NE:2020-10-09	Oct 9, 2020	Oct 7, 2020	LA VISTA, NE	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 7, 2020 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 18, 2020 to Oct 9, 2020factForm ADV
→ SSN ADVISORY, INC.Registered adviserregistration: previous registration
Aug 30, 2016 to Sep 18, 2020factForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 30, 2006 to Sep 23, 2016factForm ADV
→ CARILLON INVESTMENTS, INC.Registered adviserregistration: previous registration
Aug 26, 2002 to Jun 30, 2006factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 23, 1997 to Jul 17, 2002factForm ADV

Dated events

No dated event names this entity yet.