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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Heather Ferris

Advisor at LPL FINANCIAL LLC

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:6e707696-2c6a-4715-e807-fd0cd215d190

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 19, 2013 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: Jun 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 23, 2007
First registration: Feb 19, 2013
Dual registered: yes, broker-dealer
Other names: HEATHER RENEE HALE|HEATHER RENEE GOODWIN|Heather Renee Hale|Heather Renee Goodwin|Heather Renee Ferris
IAPD individual key: 5332225

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	Oct 2, 2024	n/a	yes	OVERLAND PARK, KS	Current employment
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jan 24, 2018	Oct 3, 2024	no	Overland Park, KS\|OVERLAND PARK, KS\|OVERLAND PARK, KS\|Tonganoxie, KS	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 26, 2017	Jan 23, 2018	no	LEAWOOD, KS	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Feb 19, 2013	May 6, 2015	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
THRIVENT INVESTMENT MANAGEMENT INC.	LPL FINANCIAL LLC	Oct 3, 2024	Oct 2, 2024	-1	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	THRIVENT INVESTMENT MANAGEMENT INC.	Jan 23, 2018	Jan 24, 2018	1	Firm change	Other
THRIVENT INVESTMENT MANAGEMENT INC.	RBC CAPITAL MARKETS, LLC	May 6, 2015	Apr 26, 2017	721	Firm change after gap	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 2, 2024 to presentfactForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jan 24, 2018 to Oct 3, 2024factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 26, 2017 to Jan 23, 2018factForm ADV

Dated events

Occurred
Oct 3, 2024
Advisor changed firm
Heather Ferris left Thrivent Investment Management Inc. for Lpl Financial Llc (registered 2024-10-02)
Form ADVobserved 5 days ago