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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

TROY A ROSS

Advisor at LPL FINANCIAL LLC

BROOKFIELD, WI | CHANDLER, AZ

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Search this name across graphsid dfx:ria:3a34cdd4-47dc-5bd7-ad51-db7e91079a18

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 15, 2013 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 19, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 4
Exams: S66|S63
First exam: Apr 19, 2010
First registration: Jan 15, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 5770888

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	Jul 19, 2023	n/a	yes	BROOKFIELD, WI\|CHANDLER, AZ	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Mar 18, 2016	Jul 19, 2023	no	ANAHEIM, CA\|LA HABRA, CA\|BREA, CA\|LA MIRADA, CA\|FULLERTON, CA\|TEMPE, AZ\|OMAHA, NE	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jan 15, 2013	Feb 8, 2016	no	YORBA LINDA, CA\|HUNTINGTON BEACH, CA\|FOUNTAIN VALLEY, CA\|HUNTINGTON BEACH, CA\|IRVINE, CA\|LA HABRA, CA\|ANAHEIM, CA\|SANTA ANA, CA\|Tustin, CA\|FULLERTON, 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
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
U.S. BANCORP ADVISORS, LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Feb 8, 2016	Mar 18, 2016	39	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 19, 2023 to presentfactForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Mar 18, 2016 to Jul 19, 2023factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 15, 2013 to Feb 8, 2016factForm ADV

Dated events

No dated event names this entity yet.