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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

PAUL DAVID GREGORY

Advisor at LPL FINANCIAL LLC

CHESAPEAKE, VA | VIRGINIA BEACH, VA

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Search this name across graphsid dfx:ria:3c6b45dd-a4db-7c89-4652-a3b5cfb0b33a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2005 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 29, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 29, 2005
First registration: Aug 1, 2005
Dual registered: yes, broker-dealer
Other names: PAUL GREGORY
IAPD individual key: 4959957

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 21, 2021	n/a	yes	CHESAPEAKE, VA\|VIRGINIA BEACH, VA	Current employment
WADDELL & REED	Former SEC adviser	Mar 14, 2012	Jul 21, 2021	no	VIRGINIA BEACH, VA\|CHARLEROI, PA\|VIRGINIA BEACH, VA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Jul 8, 2009	Mar 1, 2012	no	VIRGINIA BEACH, VA\|VIRGINIA BEACH, VA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 1, 2005	Apr 15, 2009	no	VIRGINIA BEACH, VA\|Virginia Beach, VA	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
OSAIC FS, INC.	WADDELL & REED	Mar 1, 2012	Mar 14, 2012	13	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	OSAIC FS, INC.	Apr 15, 2009	Jul 8, 2009	84	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Mar 14, 2012 to Jul 21, 2021factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Jul 8, 2009 to Mar 1, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 1, 2005 to Apr 15, 2009factForm ADV

Dated events

No dated event names this entity yet.