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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

ROY GUY GRIMES

Advisor at LPL FINANCIAL LLC

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:49eeedff-5012-4987-cf35-4cf80cf049c7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2004 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: Apr 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 1, 2004
First registration: Oct 4, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4829585

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 13, 2017	n/a	yes	TORRANCE, CA\|PALM DESERT, CA\|ALHAMBRA, CA\|ARCADIA, CA\|ENCINO, CA\|GARDENA, CA\|LONG BEACH, CA\|ACTON, CA\|FRAZIER PARK, CA\|FRESNO, CA\|LANCASTER, CA\|PALMDALE, CA\|QUARTZ HILL, CA\|INDIO, CA\|LOS ANGELES, CA\|IRVINE, CA	Current employment
ZIONS CAPITAL ADVISORS, INC.	Institutional manager	Oct 4, 2004	Mar 14, 2017	no	SALT LAKE CITY, UT\|IRVINE, CA\|LOS ANGELES, 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
ZIONS CAPITAL ADVISORS, INC.	LPL FINANCIAL LLC	Mar 14, 2017	Mar 13, 2017	-1	Firm change	Other

Relationships

Registered with (2)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 13, 2017 to presentfactForm ADV
→ ZIONS CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 4, 2004 to Mar 14, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49eeedff-5012-4987-cf35-4cf80cf049c7
First observed: Oct 4, 2004
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROY GUY GRIMES

Advisor at LPL FINANCIAL LLC

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:49eeedff-5012-4987-cf35-4cf80cf049c7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Mar 13, 2017

n/a

yes

Current employment

ZIONS CAPITAL ADVISORS, INC.

Institutional manager

Oct 4, 2004

Mar 14, 2017

SALT LAKE CITY, UT|IRVINE, CA|LOS ANGELES, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

ZIONS CAPITAL ADVISORS, INC.

LPL FINANCIAL LLC

Mar 14, 2017

Mar 13, 2017

-1

Firm change

Other