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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

DANIEL LEE ANDREW

Advisor at LPL FINANCIAL LLC

ANAHEIM, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 27, 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: Apr 26, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 26, 2005
First registration: Jul 27, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 4937605

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	Jun 30, 2017	n/a	yes	ANAHEIM, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 13, 2015	Feb 10, 2016	no	ANAHEIM, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 1, 2009	Jul 21, 2011	no	ANAHEIM, CA\|ORANGE, CA\|SAN DIEGO, CA\|ANAHEIM, CA\|ORANGE, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Jun 30, 2009	no	ORANGE, CA\|ORANGE, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jul 27, 2007	May 2, 2009	no	ORANGE, CA\|GARDEN GROVE, CA\|GARDEN GROVE, CA\|ORANGE, CA\|ORANGE, 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
CHASE INVESTMENT SERVICES CORP.	LPL FINANCIAL LLC	Jun 30, 2009	Jul 1, 2009	1	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 13, 2015 to Feb 10, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Jun 30, 2009factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 27, 2007 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.