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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

GEOFFREY BROWN

Advisor at LPL FINANCIAL LLC

GLEN ALLEN, VA | WINSTON SALEM, NC

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Search this name across graphsid dfx:ria:3cf61e46-fbdd-d922-0868-66c27258d9ae

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 1, 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: Jun 30, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jun 30, 1993
First registration: Mar 1, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1963751

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	Jun 18, 2024	n/a	yes	WINSTON SALEM, NC\|WINSTON SALEM, NC\|GLEN ALLEN, VA	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Mar 16, 2018	Jul 5, 2024	no	RICHMOND, VA\|ST. LOUIS, MO\|Richmond, VA	Previous registration
B. C. ZIEGLER AND COMPANY	Former SEC adviser	Feb 20, 2014	Mar 16, 2018	no	Richmond, VA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 26, 2014	no	Richmond, VA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	RICHMOND, VA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 1, 2001	Apr 2, 2007	no	RICHMOND, VA\|RICHMOND, 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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	LPL FINANCIAL LLC	Jul 5, 2024	Jun 18, 2024	-17	Firm change	Ibd to ibd
B. C. ZIEGLER AND COMPANY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 16, 2018	Mar 16, 2018	0	Bulk transfer	Other
MORGAN STANLEY	B. C. ZIEGLER AND COMPANY	Feb 26, 2014	Feb 20, 2014	-6	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 18, 2024 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Mar 16, 2018 to Jul 5, 2024factForm ADV
→ B. C. ZIEGLER AND COMPANYRegistered adviserregistration: previous registration
Feb 20, 2014 to Mar 16, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 26, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 1, 2001 to Apr 2, 2007factForm ADV

Dated events

Occurred
Jul 5, 2024
Advisor changed firm
Geoffrey Brown left Stifel, Nicolaus & Company, Incorporated for Lpl Financial Llc (registered 2024-06-18)
Form ADVobserved 5 days ago