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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

CATALDO PANICI

Advisor at LPL FINANCIAL LLC

FRANKFORT, IL

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Search this name across graphsid dfx:ria:5aa3124c-6a2e-40a6-576c-96155b42cd46

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2001 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: Mar 15, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 15, 1993
First registration: Oct 19, 2001
Dual registered: yes, broker-dealer
Other names: CARLO PANICI
IAPD individual key: 2112617

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	Jan 23, 2025	n/a	yes	FRANKFORT, IL	Current employment
WINTRUST INVESTMENTS	Former SEC adviser	Jul 17, 2009	Jan 23, 2025	no	FRANKFORT, IL\|Steger, IL\|CHICAGO, IL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 24, 2008	Jul 22, 2009	no	ORLAND PARK, IL\|ORLAND PARK, IL	Previous registration
LASALLE FINANCIAL SERVICES, INC.	n/a	Oct 19, 2001	Oct 24, 2008	no	FRANKFORT, IL\|ORLAND PARK, IL\|PALOS HILLS, IL\|PALOS HEIGHTS, IL\|FRANKFORT, IL\|CHICAGO, IL\|PALOS HEIGHTS, IL\|ORLAND PARK, IL\|TINLEY PARK, IL\|CHICAGO, IL\|CHICAGO, IL	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
WINTRUST INVESTMENTS	LPL FINANCIAL LLC	Jan 23, 2025	Jan 23, 2025	0	Bulk transfer	RIA to ibd
BANC OF AMERICA INVESTMENT SERVICES, INC.	WINTRUST INVESTMENTS	Jul 22, 2009	Jul 17, 2009	-5	Firm change	Other
LASALLE FINANCIAL SERVICES, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 24, 2008	Oct 24, 2008	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 23, 2025 to presentfactForm ADV
→ WINTRUST INVESTMENTSRegistered adviserregistration: previous registration
Jul 17, 2009 to Jan 23, 2025factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 24, 2008 to Jul 22, 2009factForm ADV
→ LASALLE FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 19, 2001 to Oct 24, 2008factForm ADV

Dated events

No dated event names this entity yet.