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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JEFFERY NOEL SPANGLER

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:6f2b1178-b7d6-4f8e-d979-7b101f9d591f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 7, 2003 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: May 23, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 23, 2002
First registration: May 7, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4517438

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 1, 2018	n/a	yes	EVANSTON, IL\|DEERFIELD, IL\|NORTHBROOK, IL\|GLENVIEW, IL\|LAKE FOREST, IL\|SKOKIE, IL\|EVANSTON, IL	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jul 24, 2014	Jun 12, 2018	no	HIGHLAND PARK, IL\|DEERFIELD, IL\|LAKE BLUFF, IL\|BANNOCKBURN, IL\|GLENVIEW, IL\|SKOKIE, IL\|SKOKIE, IL\|SKOKIE, IL\|NORTHBROOK, IL\|BUFFALO GROVE, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	May 7, 2003	Jan 6, 2004	no	CHICAGO, IL	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
PNC WEALTH MANAGEMENT	LPL FINANCIAL LLC	Jun 12, 2018	Jun 1, 2018	-11	Firm change	Ibd to RIA
MSI FINANCIAL SERVICES, INC.	PNC WEALTH MANAGEMENT	Jan 6, 2004	Jul 24, 2014	3,852	Firm change after gap	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 1, 2018 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 24, 2014 to Jun 12, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 7, 2003 to Jan 6, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f2b1178-b7d6-4f8e-d979-7b101f9d591f
First observed: May 7, 2003
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.

JEFFERY NOEL SPANGLER

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:6f2b1178-b7d6-4f8e-d979-7b101f9d591f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Jun 1, 2018

n/a

yes

Current employment

PNC WEALTH MANAGEMENT

Bd affiliated wealth

Jul 24, 2014

Jun 12, 2018

Previous registration

MSI FINANCIAL SERVICES, INC.

Former SEC adviser

May 7, 2003

Jan 6, 2004

CHICAGO, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

PNC WEALTH MANAGEMENT

LPL FINANCIAL LLC

Jun 12, 2018

Jun 1, 2018

-11

Firm change

Ibd to RIA

MSI FINANCIAL SERVICES, INC.

PNC WEALTH MANAGEMENT

Jan 6, 2004

Jul 24, 2014

3,852

Firm change after gap

Other