DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

LINDA RUTH KLUGMAN

Advisor at LPL FINANCIAL LLC

TORRANCE, CA

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:6512cd70-71f5-adec-84fc-6da93a5f0fce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 16, 1999 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: Aug 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Aug 9, 1994
First registration: Feb 16, 1999
Dual registered: yes, broker-dealer
Other names: LINDA RUTH TOBIN|LINDA RUTH TOBINKLUGMAN|LINDA RUTH TOBIN-KLUGMAN|LINDA RUTH KLUGMAN|LINDA KLUGMAN
IAPD individual key: 2420527

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	Jul 21, 2021	n/a	yes	TORRANCE, CA	Current employment
WADDELL & REED	Former SEC adviser	Oct 17, 2014	Jul 21, 2021	no	TORRANCE, CA\|LAS VEGAS, NV\|TORRANCE, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Oct 20, 2014	no	ROLLING HILLS ES, CA\|ROLLING HILLS ESTATES, CA\|SEAL BEACH, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Feb 16, 1999	Jul 1, 2003	no	ROLLING HILLS ESTATE, 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
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	WADDELL & REED	Oct 20, 2014	Oct 17, 2014	-3	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Oct 17, 2014 to Jul 21, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Oct 20, 2014factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Feb 16, 1999 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.