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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

KELLY LYNN BAUMAN

Advisor at LPL FINANCIAL LLC

DENVER, CO

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Search this name across graphsid dfx:ria:611cdc0d-c326-1847-19e2-561f9a1edc1b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 2, 2006 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: Jan 31, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 31, 1991
First registration: Jun 2, 2006
Dual registered: yes, broker-dealer
Other names: KELLY LYNN MURPHY|KELLY VANALSTINE|KELLY LYNN VANALSTINE|Kelly Lynn Van Alstine
IAPD individual key: 2122827

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 24, 2024	n/a	yes	DENVER, CO	Current employment
ICA GROUP WEALTH MANAGEMENT, LLC	Former SEC adviser	Jun 11, 2021	Sep 23, 2024	no	DENVER, CO	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Mar 12, 2018	Jul 2, 2018	no	GREENWOOD VILLAGE, CO	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Dec 8, 2016	Feb 26, 2018	no	Appleton, WI\|LOS ANGELES, CA	Previous registration
INVESTMENT CENTERS OF AMERICA, INC.	Former SEC adviser	Jan 2, 2015	Feb 26, 2018	no	BISMARCK, ND\|APPLETON, WI\|APPLETON, WI	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Jun 2, 2006	Feb 26, 2018	no	APPLETON, WI\|APPLETON, WI\|APPLETON, WI\|APPLETON, WI\|CHERRY HILL, NJ	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
ICA GROUP WEALTH MANAGEMENT, LLC	LPL FINANCIAL LLC	Sep 23, 2024	Jun 24, 2024	-91	Firm change after gap	RIA to ibd
CETERA ADVISORS LLC	ICA GROUP WEALTH MANAGEMENT, LLC	Jul 2, 2018	Jun 11, 2021	1,075	Firm change after gap	Ibd to new firm
INVESTMENT CENTERS OF AMERICA, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Feb 26, 2018	Dec 8, 2016	-445	Channel change	Other
SII INVESTMENTS, INC.	INVESTMENT CENTERS OF AMERICA, INC.	Feb 26, 2018	Jan 2, 2015	-1,151	Channel change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	CETERA ADVISORS LLC	Feb 26, 2018	Mar 12, 2018	14	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
311419:6413:CO:2024-09-23	Sep 23, 2024	Jun 24, 2024	DENVER, CO	Firm change after gap

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 24, 2024 to presentfactForm ADV
→ ICA GROUP WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 11, 2021 to Sep 23, 2024factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Mar 12, 2018 to Jul 2, 2018factForm ADV
→ INVESTMENT CENTERS OF AMERICA, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Feb 26, 2018factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 2, 2006 to Feb 26, 2018factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Dec 8, 2016 to Feb 26, 2018factForm ADV

Dated events

Occurred
Sep 23, 2024
Advisor changed firm
Kelly Lynn Bauman left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
Form ADVobserved 6 days ago