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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Victoria Lynnette Swanson

Advisor at LPL ENTERPRISE, LLC

LONE TREE, CO | Littleton, CO | FORT MILL, SC

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Search this name across graphsid dfx:ria:35cb1fc1-5db9-1bbd-d2ee-597702f0e6a6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1999 to Sep 15, 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 ENTERPRISE, 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: Jan 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Apr 25, 2024
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: VICTORIA LYNNETTE REED|VICTORIA LYNETTE MARTIN|VICTORIA LYNNETTE MARTIN|VICKI SWANSON
IAPD individual key: 2242053

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 ENTERPRISE, LLC	Bd affiliated wealth	Oct 1, 2024	n/a	yes	LONE TREE, CO\|Littleton, CO\|FORT MILL, SC	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Apr 30, 2024	Sep 25, 2024	no	ENGLEWOOD, CO\|Littleton, CO\|Lake Oswego, OR\|NEWARK, NJ\|LITTLETON, CO	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Nov 19, 2004	Feb 23, 2005	no	DENVER, CO	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jan 1, 1999	Apr 7, 2004	no	DENVER, CO	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
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Sep 25, 2024	Oct 1, 2024	6	Firm change	Ibd to new firm
ADVICE AND PLANNING SERVICES	PRUCO SECURITIES, LLC	Feb 23, 2005	Apr 30, 2024	7,006	Firm change after gap	Other
CETERA ADVISORS LLC	ADVICE AND PLANNING SERVICES	Apr 7, 2004	Nov 19, 2004	226	Firm change	Other

Relationships

Registered with (4)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Oct 1, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 30, 2024 to Sep 25, 2024factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Nov 19, 2004 to Feb 23, 2005factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jan 1, 1999 to Apr 7, 2004factForm ADV

Dated events

Occurred
Sep 25, 2024
Advisor changed firm
Victoria Lynnette Swanson left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2024-10-01)
Form ADVobserved 6 days ago