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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

KEVIN SCOTT MONACO

Advisor at LPL FINANCIAL LLC

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:382b7835-a1ff-8bb8-9db1-8d6455fdec93

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2001 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: Aug 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 25, 1995
First registration: Mar 23, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1747895

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 14, 2025	n/a	yes	LOS ANGELES, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 21, 2017	Nov 13, 2024	no	Los Angeles, CA	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Dec 4, 2015	Jul 28, 2017	no	ST. LOUIS, MO\|LOS ANGELES, CA	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Jan 13, 2012	Dec 4, 2015	no	LOS ANGELES, CA\|PACIFIC PALISADES, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	May 25, 2005	Feb 3, 2012	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
OPPENHEIMER ASSET MANAGEMENT	Bd affiliated wealth	Apr 15, 2003	Jun 3, 2005	no	NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 3, 2003	Apr 15, 2003	no	LOS ANGELES , CA	Previous registration
CIBC WORLD MARKETS CORP.	n/a	Oct 15, 2002	Jan 3, 2003	no	LOS ANGELES, CA	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Mar 23, 2001	Oct 30, 2002	no	LOS ANGELES, 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
J.P. MORGAN SECURITIES LLC	LPL FINANCIAL LLC	Nov 13, 2024	Jan 14, 2025	62	Firm change	Wirehouse to ibd
STIFEL, NICOLAUS & COMPANY, INCORPORATED	J.P. MORGAN SECURITIES LLC	Jul 28, 2017	Jul 21, 2017	-7	Firm change	Ibd to wirehouse
BARCLAYS CAPITAL INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
CREDIT SUISSE SECURITIES (USA) LLC	BARCLAYS CAPITAL INC.	Feb 3, 2012	Jan 13, 2012	-21	Firm change	Other
OPPENHEIMER ASSET MANAGEMENT	CREDIT SUISSE SECURITIES (USA) LLC	Jun 3, 2005	May 25, 2005	-9	Firm change	Other
OPPENHEIMER & CO. INC.	OPPENHEIMER ASSET MANAGEMENT	Apr 15, 2003	Apr 15, 2003	0	Bulk transfer	Other
CIBC WORLD MARKETS CORP.	OPPENHEIMER & CO. INC.	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other
DEUTSCHE BANK SECURITIES INC.	CIBC WORLD MARKETS CORP.	Oct 30, 2002	Oct 15, 2002	-15	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
79:6413:CA:2024-11-13	Nov 13, 2024	Jan 14, 2025	LOS ANGELES, CA	Firm change
793:79:CA:2017-07-28	Jul 28, 2017	Jul 21, 2017	LOS ANGELES, CA	Firm change

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 14, 2025 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 21, 2017 to Nov 13, 2024factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 4, 2015 to Jul 28, 2017factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jan 13, 2012 to Dec 4, 2015factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
May 25, 2005 to Feb 3, 2012factForm ADV
→ OPPENHEIMER ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 15, 2003 to Jun 3, 2005factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 3, 2003 to Apr 15, 2003factForm ADV
→ CIBC WORLD MARKETS CORP.Registered adviserregistration: previous registration
Oct 15, 2002 to Jan 3, 2003factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Mar 23, 2001 to Oct 30, 2002factForm ADV

Dated events

Occurred
Nov 13, 2024
Advisor changed firm
Kevin Scott Monaco left J.P. Morgan Securities Llc for Lpl Financial Llc (registered 2025-01-14)
Form ADVobserved 5 days ago