DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

Phillip Nuttall

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:432094d4-b4a1-ed2c-c134-09b2b5dba8b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Apr 13, 2016 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 28, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Sep 28, 2010
First registration: Apr 13, 2016
Dual registered: yes, broker-dealer
Other names: Phillip Stuart Nuttall
IAPD individual key: 5807229

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	Sep 12, 2025	n/a	yes	SAN DIEGO, CA	Current employment
STRATOS WEALTH ADVISORS LLC	Independent wealth	Aug 6, 2023	Sep 10, 2025	no	San Diego, CA\|Beachwood, OH	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Aug 6, 2023	Sep 10, 2025	no	San DIego, CA\|Beachwood, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 12, 2022	Aug 10, 2023	no	SAN DIEGO, CA	Previous registration
CAPITAL ONE INVESTING, INC.	Former SEC adviser	Jan 8, 2020	Jan 3, 2022	no	MCLEAN, VA\|Washington, DC	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Apr 13, 2016	Nov 20, 2019	no	MANHASSET, NY\|PORT WASHINGTON, NY\|Tysons, VA\|NEW YORK, NY\|WASHINGTON, DC\|PARSIPPANY, NJ	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
STRATOS WEALTH PARTNERS, LTD	STRATOS WEALTH ADVISORS LLC	Sep 10, 2025	Aug 6, 2023	-766	Firm change after gap	Ibd to RIA
STRATOS WEALTH ADVISORS LLC	LPL FINANCIAL LLC	Sep 10, 2025	Sep 12, 2025	2	Firm change	RIA to ibd
LPL FINANCIAL LLC	STRATOS WEALTH PARTNERS, LTD	Aug 10, 2023	Aug 6, 2023	-4	Firm change	Ibd to ibd
CAPITAL ONE INVESTING, INC.	LPL FINANCIAL LLC	Jan 3, 2022	Jan 12, 2022	9	Firm change	RIA to ibd
HSBC SECURITIES (USA) INC.	CAPITAL ONE INVESTING, INC.	Nov 20, 2019	Jan 8, 2020	49	Firm change	Ibd to RIA

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 12, 2022 to Aug 10, 2023factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Aug 6, 2023 to Sep 10, 2025factForm ADV
→ STRATOS WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Aug 6, 2023 to Sep 10, 2025factForm ADV
→ CAPITAL ONE INVESTING, INC.Registered adviserregistration: previous registration
Jan 8, 2020 to Jan 3, 2022factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Apr 13, 2016 to Nov 20, 2019factForm ADV

Dated events

Occurred
Sep 10, 2025
Advisor changed firm
Phillip Nuttall left Stratos Wealth Advisors Llc for Lpl Financial Llc (registered 2025-09-12)
Form ADVobserved 5 days ago
Occurred
Sep 10, 2025
Advisor changed firm
Phillip Nuttall left Stratos Wealth Partners, Ltd for Stratos Wealth Advisors Llc (registered 2023-08-06)
Form ADVobserved 5 days ago
Occurred
Aug 10, 2023
Advisor changed firm
Phillip Nuttall left Lpl Financial Llc for Stratos Wealth Partners, Ltd (registered 2023-08-06)
Form ADVobserved 5 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Phillip Nuttall left Capital One Investing, Inc. for Lpl Financial Llc (registered 2022-01-12)
Form ADVobserved 5 days ago