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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

CAROLINE RUFF BURNS

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:6a8d9459-87e8-4880-e764-46140576a896

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2005 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: Feb 19, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom 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: S66
First exam: Feb 19, 1999
First registration: Jan 21, 2005
Dual registered: yes, broker-dealer
Other names: CARRIE KING|CAROLINE RUFF KING|CARRIE KING|CAROLINE MARGARET RUFF|CAROLINE MARGARET RUFF|CAROLINE RUFF WOOD|CARRIE RUFF WOOD|CAROLINE RUFF WOOD|CAROLINE RUFF BURNS
IAPD individual key: 3104094

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	Nov 10, 2020	n/a	yes	OLIVE BRANCH, MS\|CLEVELAND, MS\|BATESVILLE, MS\|HERNANDO, MS\|HORN LAKE, MS\|OXFORD, MS\|SARDIS, MS\|OXFORD, MS\|SOUTHAVEN, MS\|OXFORD, MS	Current employment
BANCORPSOUTH INVESTMENT SERVICES, INC.	Former SEC adviser	Mar 16, 2006	Oct 5, 2009	no	CORINTH, MS\|COLUMBUS, MS\|FULTON, MS\|OXFORD, MS\|TUPELO, MS	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Feb 28, 2006	Mar 15, 2006	no	TUPELO, MS\|JACKSON, MS	Previous registration
TRUSTMARK SECURITIES, INC.	n/a	Jan 21, 2005	Feb 28, 2006	no	JACKSON, MS\|TUPELO, MS\|JACKSON, MS	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
BANCORPSOUTH INVESTMENT SERVICES, INC.	LPL FINANCIAL LLC	Oct 5, 2009	Nov 10, 2020	4,054	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	BANCORPSOUTH INVESTMENT SERVICES, INC.	Mar 15, 2006	Mar 16, 2006	1	Firm change	Other
TRUSTMARK SECURITIES, INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Feb 28, 2006	Feb 28, 2006	0	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 10, 2020 to presentfactForm ADV
→ BANCORPSOUTH INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 16, 2006 to Oct 5, 2009factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Feb 28, 2006 to Mar 15, 2006factForm ADV
→ TRUSTMARK SECURITIES, INC.Registered adviserregistration: previous registration
Jan 21, 2005 to Feb 28, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a8d9459-87e8-4880-e764-46140576a896
First observed: Jan 21, 2005
Last observed: Sep 15, 2026 5 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.

CAROLINE RUFF BURNS

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:6a8d9459-87e8-4880-e764-46140576a896

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:50 PM UTC and rebuilt at most every 15 minutes.