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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

JUSTIN CARFORA

Advisor at LPL FINANCIAL LLC

POQUONOCK, CT | NEW HAVEN, CT | GUILFORD, CT | BRANFORD, CT | MADISON, CT

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Search this name across graphsid dfx:ria:556d15a7-c9d9-70ad-2e3d-c4ff52f8161f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 24, 2007 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: Sep 18, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 18, 2007
First registration: Sep 24, 2007
Dual registered: yes, broker-dealer
Other names: JUSTIN PHILLIP CARFORA
IAPD individual key: 5376437

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	Apr 2, 2024	n/a	yes	GUILFORD, CT\|MADISON, CT\|BRANFORD, CT\|NEW HAVEN, CT\|POQUONOCK, CT	Current employment
FIRST TRUST ADVISORS LP	Asset manager	Apr 2, 2019	Oct 28, 2022	no	STAMFORD, CT\|WHEATON, IL\|WEST HARTFORD, CT	Previous registration
CLINTON INVESTMENT MANAGEMENT, LLC	Independent wealth	Nov 25, 2015	Jul 17, 2017	no	STAMFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 2, 2010	Dec 22, 2010	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 17, 2010	no	New Haven, CT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 24, 2007	Jun 1, 2009	no	NEW HAVEN, CT	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	Oct 28, 2022	Apr 2, 2024	522	Firm change after gap	Other
CLINTON INVESTMENT MANAGEMENT, LLC	FIRST TRUST ADVISORS LP	Jul 17, 2017	Apr 2, 2019	624	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CLINTON INVESTMENT MANAGEMENT, LLC	Dec 22, 2010	Nov 25, 2015	1,799	Firm change after gap	Other
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 17, 2010	Jun 2, 2010	-15	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 2, 2024 to presentfactForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Apr 2, 2019 to Oct 28, 2022factForm ADV
→ CLINTON INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 25, 2015 to Jul 17, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 2, 2010 to Dec 22, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 17, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 24, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
Oct 28, 2022
Advisor changed firm
Justin Carfora left First Trust Advisors Lp for Lpl Financial Llc (registered 2024-04-02)
Form ADVobserved 6 days ago