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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Roger Ivan Toledo

Advisor at LPL FINANCIAL LLC

AUSTIN, TX

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Search this name across graphsid dfx:ria:441d69d9-46ac-4c05-eb97-17456ceebf92

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 2, 2008 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: Jan 2, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 6, 2010
First registration: Jan 2, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5394291

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	Mar 23, 2026	n/a	yes	AUSTIN, TX	Current employment
FIRST TRUST ADVISORS LP	Asset manager	Dec 15, 2020	Dec 19, 2024	no	AUSTIN, TX\|WHEATON, IL	Previous registration
KOVACK INTERNATIONAL ADVISORS INC.	Former SEC adviser	Jun 28, 2019	Dec 31, 2019	no	Fort Lauderdale, FL\|FORT LAUDERDALE, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 30, 2010	Jan 24, 2019	no	MIAMI BEACH, FL\|AVENTURA, FL\|MIAMI BEACH, FL\|Aventura, FL\|Miami, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 2, 2008	Apr 11, 2008	no	BOCA RATON, FL	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
FIRST TRUST ADVISORS LP	LPL FINANCIAL LLC	Dec 19, 2024	Mar 23, 2026	459	Firm change after gap	Other
KOVACK INTERNATIONAL ADVISORS INC.	FIRST TRUST ADVISORS LP	Dec 31, 2019	Dec 15, 2020	350	Firm change	Other
MORGAN STANLEY	KOVACK INTERNATIONAL ADVISORS INC.	Jan 24, 2019	Jun 28, 2019	155	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MORGAN STANLEY	Apr 11, 2008	Jun 30, 2010	810	Firm change after gap	Ibd to wirehouse

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 23, 2026 to presentfactForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Dec 15, 2020 to Dec 19, 2024factForm ADV
→ KOVACK INTERNATIONAL ADVISORS INC.Registered adviserregistration: previous registration
Jun 28, 2019 to Dec 31, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 30, 2010 to Jan 24, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 2, 2008 to Apr 11, 2008factForm ADV

Dated events

Occurred
Dec 19, 2024
Advisor changed firm
Roger Ivan Toledo left First Trust Advisors Lp for Lpl Financial Llc (registered 2026-03-23)
Form ADVobserved 6 days ago