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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

DANIELLE MARIE GATES

Advisor at LPL FINANCIAL LLC

CAPE CORAL, FL | BABCOCK RANCH, FL

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Search this name across graphsid dfx:ria:5b19c0b1-612f-208e-4bbd-910ee650ef80

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 20, 1999 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 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Sep 14, 1998
First registration: Jul 20, 1999
Dual registered: yes, broker-dealer
Other names: DANIELLE MARIE EMERY|DANIELLE M EMERY
IAPD individual key: 3120596

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	Dec 2, 2019	n/a	yes	CAPE CORAL, FL\|BABCOCK RANCH, FL	Current employment
FSC SECURITIES CORPORATION	Former SEC adviser	Nov 19, 2013	Dec 5, 2019	no	CAPE CORAL, FL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 15, 2013	Nov 21, 2013	no	SARASOTA, FL\|CAPE CORAL, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 12, 2008	Jan 22, 2013	no	FORT MYERS, FL\|Fort Myers, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 20, 1999	Nov 11, 2008	no	FORT MYERS, FL\|FORT MYERS, FL	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
FSC SECURITIES CORPORATION	LPL FINANCIAL LLC	Dec 5, 2019	Dec 2, 2019	-3	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	FSC SECURITIES CORPORATION	Nov 21, 2013	Nov 19, 2013	-2	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Jan 22, 2013	Jan 15, 2013	-7	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 11, 2008	Nov 12, 2008	1	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 2, 2019 to presentfactForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 19, 2013 to Dec 5, 2019factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 15, 2013 to Nov 21, 2013factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 12, 2008 to Jan 22, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 20, 1999 to Nov 11, 2008factForm ADV

Dated events

No dated event names this entity yet.