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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

JOSHUA JAMES CHASE

Advisor at LPL FINANCIAL LLC

PORTLAND, ME

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Search this name across graphsid dfx:ria:4b7c3597-2446-5c0a-285a-e70fa97fa137

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 24, 2006 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: May 22, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 22, 2006
First registration: May 24, 2006
Dual registered: yes, broker-dealer
Other names: Joshua James Chase
IAPD individual key: 4134904

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	Aug 12, 2026	n/a	yes	PORTLAND, ME	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 1, 2023	Aug 14, 2026	no	PORTLAND, ME	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Aug 17, 2020	Sep 1, 2023	no	AUBURN, ME\|SCOTTSDALE, AZ\|LEWISTON, ME\|Lewiston, ME\|PORTLAND, ME	Previous registration
VALMARK ADVISERS, INC.	Bd affiliated wealth	Aug 6, 2012	Aug 18, 2020	no	FALMOUTH, ME	Previous registration
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	May 24, 2006	Aug 1, 2012	no	PORTLAND, ME\|PORTLAND, ME\|HALLOWELL, ME\|AUBURN, ME\|PORTLAND, ME	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Aug 14, 2026	Aug 12, 2026	-2	Firm change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
VALMARK ADVISERS, INC.	SAGEPOINT FINANCIAL, INC.	Aug 18, 2020	Aug 17, 2020	-1	Firm change	RIA to ibd
CONCOURSE FINANCIAL GROUP ADVISORS	VALMARK ADVISERS, INC.	Aug 1, 2012	Aug 6, 2012	5	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
23131:6413:ME:2026-08-14	Aug 14, 2026	Aug 12, 2026	PORTLAND, ME	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 12, 2026 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Sep 1, 2023 to Aug 14, 2026factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Aug 17, 2020 to Sep 1, 2023factForm ADV
→ VALMARK ADVISERS, INC.Registered adviserregistration: previous registration
Aug 6, 2012 to Aug 18, 2020factForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
May 24, 2006 to Aug 1, 2012factForm ADV

Dated events

Occurred
Aug 14, 2026
Advisor changed firm
Joshua James Chase left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-12)
Form ADVobserved 5 days ago