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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

BRETT JUSTIN HOWARD

Advisor at LPL FINANCIAL LLC

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:5f20f5d4-76a2-1c0f-7a6d-41e4bfe8f2ab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 18, 2008 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 7, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Mar 7, 2003
First registration: Jun 18, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4624492

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	Sep 9, 2024	n/a	yes	SANTA ROSA, CA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 27, 2017	Oct 8, 2024	no	Windsor, CA\|Santa Rosa, CA\|Petaluma, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Feb 1, 2017	no	SANTA ROSA, CA\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 1, 2010	Jan 3, 2011	no	SANTA ROSA, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Mar 19, 2010	no	SANTA ROSA, CA\|PETALUMA, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jun 18, 2008	Oct 23, 2009	no	SANTA ROSA, CA\|PETALUMA, CA\|ROHNERT PARK, CA\|PETALUMA, CA	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Oct 8, 2024	Sep 9, 2024	-29	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 1, 2017	Jan 27, 2017	-5	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO INVESTMENTS, LLC	Mar 19, 2010	Apr 1, 2010	13	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:6413:CA:2024-10-08	Oct 8, 2024	Sep 9, 2024	PETALUMA, CA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 9, 2024 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 27, 2017 to Oct 8, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Feb 1, 2017factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 1, 2010 to Jan 3, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Mar 19, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 18, 2008 to Oct 23, 2009factForm ADV

Dated events

Occurred
Oct 8, 2024
Advisor changed firm
Brett Justin Howard left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2024-09-09)
Form ADVobserved 4 days ago