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.

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

Jan 1, 2009earliest registration or exam on IAPD

Years in industry

17derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S66

First exam

Nov 6, 2020

First registration

Apr 8, 2021

Dual registered

yes, broker-dealer

IAPD individual key

7180635

• Occurred

  Nov 28, 2023
  Advisor changed firm

  Riley Robert Giauque left Flaharty Asset Management, Llc for Lpl Financial Llc (registered 2023-11-27)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:728e7384-2f83-ecc3-b013-24e843e152fc

First observed

Apr 8, 2021

Last observed

Sep 14, 2026 7 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.