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RIA / WealthAdvisor23 years in industry

SETH BECKER

Advisor at LPL FINANCIAL LLC

GAHANNA, OH

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Search this name across graphsid dfx:ria:5a74016f-bda4-40f2-5d87-8b4a2e530a31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 5, 2002 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: Nov 5, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 15, 2003
First registration: Nov 5, 2002
Dual registered: no
IAPD individual key: 4125151

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 22, 2025	n/a	yes	GAHANNA, OH	Current employment
OAKSTONE FINANCIAL MANAGEMENT, LLC	n/a	Jan 16, 2019	Nov 3, 2025	no	GAHANNA, OH	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Mar 1, 2016	Jan 22, 2019	no	Gahanna, OH	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Jul 11, 2006	Mar 2, 2016	no	SYRACUSE, NY\|GAHANNA, OH	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Apr 30, 2003	Jul 17, 2006	no	GAHANNA, OH\|GAHANNA, OH	Previous registration
OSAIC FA, INC.	Former SEC adviser	Nov 5, 2002	Apr 23, 2003	no	COLUMBUS, OH	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
OAKSTONE FINANCIAL MANAGEMENT, LLC	LPL FINANCIAL LLC	Nov 3, 2025	Aug 22, 2025	-73	Firm change after gap	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	OAKSTONE FINANCIAL MANAGEMENT, LLC	Jan 22, 2019	Jan 16, 2019	-6	Firm change	Other
CADARET GRANT & CO INC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Mar 2, 2016	Mar 1, 2016	-1	Firm change	Other
1717 CAPITAL MANAGEMENT COMPANY	CADARET GRANT & CO INC	Jul 17, 2006	Jul 11, 2006	-6	Firm change	Other
OSAIC FA, INC.	1717 CAPITAL MANAGEMENT COMPANY	Apr 23, 2003	Apr 30, 2003	7	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 22, 2025 to presentfactForm ADV
→ OAKSTONE FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 16, 2019 to Nov 3, 2025factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 1, 2016 to Jan 22, 2019factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Jul 11, 2006 to Mar 2, 2016factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Apr 30, 2003 to Jul 17, 2006factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Nov 5, 2002 to Apr 23, 2003factForm ADV

Dated events

Occurred
Nov 3, 2025
Advisor changed firm
Seth Becker left Oakstone Financial Management, Llc for Lpl Financial Llc (registered 2025-08-22)
Form ADVobserved 5 days ago