DFX Intelligence

Data Factory

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

JOHN FRANCIS FABRIZIO

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:6363a9fb-03ba-bdec-a34b-3c135d81dce8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 1, 2010 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: Mar 11, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Mar 11, 2004
First registration: Jun 1, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 4746248

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 9, 2021	n/a	yes	ITHACA, NY\|ELBRIDGE, NY\|SYRACUSE, NY\|SENECA FALLS, NY\|SKANEATELES, NY\|SYRACUSE, NY\|AUBURN, NY\|ITHACA, NY\|SKANEATELES, NY	Current employment
M&T SECURITIES, INC.	n/a	Jul 11, 2016	Jun 9, 2021	no	ELBRIDGE, NY\|Syracuse, NY\|Cheektowaga, NY\|LAFAYETTE, NY\|SYRACUSE, NY\|SYRACUSE, NY\|SYRACUSE, NY\|SYRACUSE, NY\|Syracuse, NY\|SYRACUSE, NY\|SENECA FALLS, NY\|BALTIMORE, MD\|ELBRIDGE, NY\|SENECA FALLS, NY\|LAFAYETTE, NY	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 17, 2011	Dec 31, 2012	no	PENN YAN, NY\|PENN YAN, NY\|SKANEATELES, NY\|GENEVA, NY\|OVID, NY\|INTERLAKEN, NY\|CICERO, NY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 1, 2010	Nov 3, 2011	no	SKANEATELES, NY	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
M&T SECURITIES, INC.	LPL FINANCIAL LLC	Jun 9, 2021	Jun 9, 2021	0	Bulk transfer	Other
INVEST FINANCIAL CORPORATION	M&T SECURITIES, INC.	Dec 31, 2012	Jul 11, 2016	1,288	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	INVEST FINANCIAL CORPORATION	Nov 3, 2011	Nov 17, 2011	14	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 9, 2021 to presentfactForm ADV
→ M&T SECURITIES, INC.Registered adviserregistration: previous registration
Jul 11, 2016 to Jun 9, 2021factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 17, 2011 to Dec 31, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 1, 2010 to Nov 3, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6363a9fb-03ba-bdec-a34b-3c135d81dce8
First observed: Jun 1, 2010
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.

JOHN FRANCIS FABRIZIO

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:6363a9fb-03ba-bdec-a34b-3c135d81dce8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.