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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JEFFREY WESTON GORMAN

Advisor at LPL FINANCIAL LLC

BRADLEY, CA | MONTEREY, CA

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Search this name across graphsid dfx:ria:3e56b770-02d8-ce42-a00a-ee2a2e3003a2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 19, 1998 to Sep 15, 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: Dec 16, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Dec 16, 1997
First registration: Feb 19, 1998
Dual registered: yes, broker-dealer
Other names: JEFF GORMAN
IAPD individual key: 2250317

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 8, 2021	n/a	yes	BRADLEY, CA\|MONTEREY, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 13, 2004	Jun 23, 2009	no	MONTEREY, CA\|CARMEL, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Dec 6, 2002	Sep 13, 2004	no	MONTEREY, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 19, 1998	Dec 17, 2002	no	CARMEL, 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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Jun 23, 2009	Jul 8, 2021	4,398	Firm change after gap	Wirehouse to ibd
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 13, 2004	Sep 13, 2004	0	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Dec 17, 2002	Dec 6, 2002	-11	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 8, 2021 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 13, 2004 to Jun 23, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Dec 6, 2002 to Sep 13, 2004factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 19, 1998 to Dec 17, 2002factForm ADV

Dated events

No dated event names this entity yet.