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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

ALLEN RICHARD DEARING

Advisor at LPL FINANCIAL LLC

ELM GROVE, WI

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Search this name across graphsid dfx:ria:3f49ce56-e15d-3818-a6b6-9819bf17168e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 11, 1993 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: Sep 14, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 14, 1981
First registration: Feb 11, 1993
Dual registered: yes, broker-dealer
Other names: AL RICHARD DEARING
IAPD individual key: 1006234

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	May 1, 2025	n/a	yes	ELM GROVE, WI	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	May 1, 2025	no	ROCKVILLE, MD\|Elm Grove, WI\|ROCKVILLE, MD	Previous registration
ANNEX WEALTH MANAGEMENT, LLC	Independent wealth	Jun 19, 2012	Apr 30, 2019	no	BROOKFIELD, WI	Previous registration
H. BECK, INC.	Former SEC adviser	Jan 4, 2010	Apr 1, 2021	no	ELM GROVE, WI\|ELM GROVE, WI\|ROCKVILLE, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 8, 2009	Dec 31, 2009	no	BROOKFIELD, WI	Previous registration
WATERSTONE FINANCIAL GROUP, INC.	n/a	Sep 11, 2002	Sep 8, 2009	no	BOSTON, MA\|BROOKFIELD, WI	Previous registration
FFP ADVISORY SERVICES INC	n/a	Feb 11, 1993	Sep 13, 2002	no	BROOKFIELD, WI	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
GROVE POINT ADVISORS, LLC	LPL FINANCIAL LLC	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
H. BECK, INC.	ANNEX WEALTH MANAGEMENT, LLC	Apr 1, 2021	Jun 19, 2012	-3,208	Firm change after gap	Other
ANNEX WEALTH MANAGEMENT, LLC	GROVE POINT ADVISORS, LLC	Apr 30, 2019	Apr 1, 2021	702	Firm change after gap	RIA to ibd
LPL FINANCIAL LLC	H. BECK, INC.	Dec 31, 2009	Jan 4, 2010	4	Firm change	Other
WATERSTONE FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Sep 8, 2009	Sep 8, 2009	0	Bulk transfer	Other
FFP ADVISORY SERVICES INC	WATERSTONE FINANCIAL GROUP, INC.	Sep 13, 2002	Sep 11, 2002	-2	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
127987:313171:WI:2019-04-30	Apr 30, 2019	Apr 1, 2021	BROOKFIELD, WI	Firm change after gap

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 8, 2009 to Dec 31, 2009factForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to May 1, 2025factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Jan 4, 2010 to Apr 1, 2021factForm ADV
→ ANNEX WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 19, 2012 to Apr 30, 2019factForm ADV
→ WATERSTONE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Sep 11, 2002 to Sep 8, 2009factForm ADV
→ FFP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Feb 11, 1993 to Sep 13, 2002factForm ADV

Dated events

No dated event names this entity yet.