DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

MONICA L LUKE

Advisor at LPL FINANCIAL LLC

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5dcf646a-ce94-9309-50b5-d253f76a5038

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 12, 2007 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: Aug 18, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Aug 18, 2004
First registration: Apr 12, 2007
Dual registered: yes, broker-dealer
Other names: MONICA L. ROSILLO|MO DANIELS|MONICA DANIELS|MONICA L DANIELS|MO LUKE
IAPD individual key: 4434805

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	Oct 1, 2024	n/a	yes	CHARLOTTE, NC	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	Sep 24, 2024	no	CHARLOTTE, NC	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jun 3, 2019	Jun 14, 2024	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
FIRST COMMAND ADVISORY SERVICES	Bd affiliated wealth	Dec 15, 2015	Jul 3, 2019	no	FORT WORTH, TX\|Charlotte, NC\|FORT WORTH, TX	Previous registration
FIRST COMMAND FINANCIAL PLANNING, INC.	Former SEC adviser	Apr 12, 2007	Dec 15, 2015	no	FAYETTEVILLE, NC\|FAYETTEVILLE, NC\|Charlotte, NC	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Sep 24, 2024	Oct 1, 2024	7	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
FIRST COMMAND ADVISORY SERVICES	SECURITIES AMERICA ADVISORS, INC.	Jul 3, 2019	Jun 3, 2019	-30	Firm change	Ibd to ibd
FIRST COMMAND FINANCIAL PLANNING, INC.	FIRST COMMAND ADVISORY SERVICES	Dec 15, 2015	Dec 15, 2015	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 1, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 14, 2024 to Sep 24, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jun 3, 2019 to Jun 14, 2024factForm ADV
→ FIRST COMMAND ADVISORY SERVICESRegistered adviserregistration: previous registration
Dec 15, 2015 to Jul 3, 2019factForm ADV
→ FIRST COMMAND FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Apr 12, 2007 to Dec 15, 2015factForm ADV

Dated events

Occurred
Sep 24, 2024
Advisor changed firm
Monica L Luke left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2024-10-01)
Form ADVobserved 5 days ago