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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

KENT SANDERSON TRAVIS

Advisor at LPL FINANCIAL LLC

NAPERVILLE, IL | WHEATON, IL | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:393c7562-12b2-729f-17d3-2e171033baeb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2011 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: Jul 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 30, 2010
First registration: Oct 12, 2011
Dual registered: yes, broker-dealer
Other names: KENT SANDERSON TRAVIS|SANDY TRAVIS|KENT TRAVIS|KENT S TRAVIS
IAPD individual key: 5730308

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	Apr 21, 2022	n/a	yes	WHEATON, IL\|SAN DIEGO, CA\|NAPERVILLE, IL	Current employment
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Feb 19, 2019	Apr 22, 2022	no	NAPERVILLE, IL\|NAPERVILLE, IL	Previous registration
SAGE PRIVATE WEALTH GROUP, LLC	Independent wealth	Mar 6, 2017	Feb 20, 2019	no	Chicago, IL\|OAKBROOK TERRACE, IL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Feb 8, 2017	Feb 22, 2019	no	CHICAGO, IL\|OAKBROOK TERRACE, IL	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Oct 12, 2011	Jan 25, 2017	no	CHICAGO, IL	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
CETERA ADVISOR NETWORKS LLC	LPL FINANCIAL LLC	Apr 22, 2022	Apr 21, 2022	-1	Firm change	Ibd to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SAGE PRIVATE WEALTH GROUP, LLC	Feb 22, 2019	Mar 6, 2017	-718	Firm change after gap	Ibd to RIA
SAGE PRIVATE WEALTH GROUP, LLC	CETERA ADVISOR NETWORKS LLC	Feb 20, 2019	Feb 19, 2019	-1	Firm change	RIA to ibd
ESI FINANCIAL ADVISORS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 25, 2017	Feb 8, 2017	14	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
13572:6413:IL:2022-04-22	Apr 22, 2022	Apr 21, 2022	NAPERVILLE, IL	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 21, 2022 to presentfactForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Feb 19, 2019 to Apr 22, 2022factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Feb 8, 2017 to Feb 22, 2019factForm ADV
→ SAGE PRIVATE WEALTH GROUP, LLCRegistered adviserregistration: previous registration
Mar 6, 2017 to Feb 20, 2019factForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Oct 12, 2011 to Jan 25, 2017factForm ADV

Dated events

Occurred
Apr 22, 2022
Advisor changed firm
Kent Sanderson Travis left Cetera Advisor Networks Llc for Lpl Financial Llc (registered 2022-04-21)
Form ADVobserved 6 days ago