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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

DANIEL JOSEPH ESSELMAN

Advisor at LPL FINANCIAL LLC

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:630247eb-14f6-b035-6945-cebe0c991b70

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2014 to Sep 15, 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: Oct 23, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 23, 2012
First registration: Dec 5, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 6112202

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	Aug 16, 2023	n/a	yes	LEE'S SUMMIT, MO\|INDEPENDENCE, MO\|INDEPENDENCE, MO\|AURORA, CO\|GREENWOOD VILLAGE, CO\|LEE'S SUMMIT, MO\|INDEPENDENCE, MO\|LEE'S SUMMIT, MO\|DENVER, CO\|BLUE SPRINGS, MO	Current employment
COMMERCE BROKERAGE SERVICES, INC	Former SEC adviser	Aug 23, 2017	Aug 16, 2023	no	LEE'S SUMMIT, MO\|CLAYTON, MO	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 5, 2014	May 23, 2017	no	OVERLAND PARK, KS	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
COMMERCE BROKERAGE SERVICES, INC	LPL FINANCIAL LLC	Aug 16, 2023	Aug 16, 2023	0	Bulk transfer	RIA to ibd
WOODBURY FINANCIAL SERVICES, INC.	COMMERCE BROKERAGE SERVICES, INC	May 23, 2017	Aug 23, 2017	92	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 16, 2023 to presentfactForm ADV
→ COMMERCE BROKERAGE SERVICES, INCRegistered adviserregistration: previous registration
Aug 23, 2017 to Aug 16, 2023factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 5, 2014 to May 23, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:630247eb-14f6-b035-6945-cebe0c991b70
First observed: Dec 5, 2014
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DANIEL JOSEPH ESSELMAN

Advisor at LPL FINANCIAL LLC

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:630247eb-14f6-b035-6945-cebe0c991b70

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Aug 16, 2023

n/a

yes

Current employment

COMMERCE BROKERAGE SERVICES, INC

Former SEC adviser

Aug 23, 2017

Aug 16, 2023

LEE'S SUMMIT, MO|CLAYTON, MO

Previous registration

WOODBURY FINANCIAL SERVICES, INC.

Former SEC adviser

Dec 5, 2014

May 23, 2017

OVERLAND PARK, KS

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

COMMERCE BROKERAGE SERVICES, INC

LPL FINANCIAL LLC

Aug 16, 2023

Bulk transfer

RIA to ibd

WOODBURY FINANCIAL SERVICES, INC.

COMMERCE BROKERAGE SERVICES, INC

May 23, 2017

Aug 23, 2017

Firm change

Other