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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

DEREK PAUL SUBOTICKI

Advisor at LPL ENTERPRISE, LLC

ENGLEWOOD, CO

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Search this name across graphsid dfx:ria:5d4b13a2-b906-1514-a00a-17b8dbe3e4f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 15, 2015 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 ENTERPRISE, 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: Apr 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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|S63
First exam: Jun 8, 2015
First registration: Sep 15, 2015
Dual registered: yes, broker-dealer
Other names: Derek P. Suboticki|Derek Suboticki
IAPD individual key: 6482222

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 ENTERPRISE, LLC	Bd affiliated wealth	Sep 8, 2026	n/a	yes	ENGLEWOOD, CO	Current employment
EDELMAN FINANCIAL ENGINES	Independent wealth	Jun 20, 2025	Jul 27, 2026	no	CENTENNIAL, CO\|Aurora, CO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 4, 2022	Dec 3, 2024	no	Phoenix, AZ\|Lone Tree, CO	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Sep 14, 2018	Oct 11, 2019	no	DENVER, CO\|DENVER, CO\|AURORA, CO\|DENVER, CO\|AURORA, CO\|AURORA, CO\|CENTENNIAL, CO	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 15, 2015	Mar 31, 2018	no	GREENWOOD VILLAGE, CO	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
EDELMAN FINANCIAL ENGINES	LPL ENTERPRISE, LLC	Jul 27, 2026	Sep 8, 2026	43	Firm change	RIA to ibd
CHARLES SCHWAB & CO., INC.	EDELMAN FINANCIAL ENGINES	Dec 3, 2024	Jun 20, 2025	199	Firm change	Ibd to RIA
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	CHARLES SCHWAB & CO., INC.	Oct 11, 2019	Feb 4, 2022	847	Firm change after gap	Ibd to ibd
STRATEGIC ADVISERS LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Mar 31, 2018	Sep 14, 2018	167	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: previous registration
Jun 20, 2025 to Jul 27, 2026factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 4, 2022 to Dec 3, 2024factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Sep 14, 2018 to Oct 11, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 15, 2015 to Mar 31, 2018factForm ADV

Dated events

Occurred
Jul 27, 2026
Advisor changed firm
Derek Paul Suboticki left Edelman Financial Engines for Lpl Enterprise, Llc (registered 2026-09-08)
Form ADVobserved 5 days ago
Occurred
Dec 3, 2024
Advisor changed firm
Derek Paul Suboticki left Charles Schwab & Co., Inc. for Edelman Financial Engines (registered 2025-06-20)
Form ADVobserved 5 days ago