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

Giancarla Marie Ferrara

Advisor at LPL FINANCIAL LLC

DEL MAR, CA

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Search this name across graphsid dfx:ria:66645ebd-2d1f-bfc8-5167-81a666fe4f74

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 2, 2005 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: Sep 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 1, 2005
First registration: Sep 2, 2005
Dual registered: yes, broker-dealer
Other names: GIANCARLA M FERRARA|GIANNA MARIE FERRARA|GIANNA MARIE FERRARA
IAPD individual key: 4966973

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 15, 2026	n/a	yes	DEL MAR, CA	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 19, 2026	Jun 25, 2026	no	Phoenix, AZ\|PHOENIX, AZ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 5, 2020	Sep 24, 2025	no	WEEHAWKEN, NJ\|New York, NY\|La Jolla, CA	Previous registration
MORGAN STANLEY	Wirehouse	Nov 17, 2009	Apr 3, 2020	no	West Conshohocken, PA\|Scottsdale, AZ\|WEST CONSHOHOCKEN, PA\|San Diego, CA\|Carlsbad, CA\|La Jolla, CA\|La Mesa, CA\|San Diego, CA\|RANCHO SANTE FE, CA\|San Diego, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 2, 2005	Nov 3, 2008	no	PENNINGTON, NJ\|NEW YORK, NY\|PEORIA, AZ\|SUN CITY, AZ	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
RBC CAPITAL MARKETS, LLC	LPL FINANCIAL LLC	Jun 25, 2026	Jun 15, 2026	-10	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Sep 24, 2025	Feb 19, 2026	148	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Apr 3, 2020	Jun 5, 2020	63	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Nov 3, 2008	Nov 17, 2009	379	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
149777:8174:CA:2020-04-02	Apr 3, 2020	Jun 5, 2020	SAN DIEGO, CA	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 15, 2026 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 19, 2026 to Jun 25, 2026factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 5, 2020 to Sep 24, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 17, 2009 to Apr 3, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 2, 2005 to Nov 3, 2008factForm ADV

Dated events

Occurred
Jun 25, 2026
Advisor changed firm
Giancarla Marie Ferrara left Rbc Capital Markets, Llc for Lpl Financial Llc (registered 2026-06-15)
Form ADVobserved 4 days ago
Occurred
Sep 24, 2025
Advisor changed firm
Giancarla Marie Ferrara left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2026-02-19)
Form ADVobserved 4 days ago