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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

KENT RODNEY BEAL

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | Dover, OH | DOVER, OH

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Search this name across graphsid dfx:ria:73e2cfe5-7e6f-ab3b-d4e8-b587cf638621

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 22, 1999 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: Jul 12, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 12, 1994
First registration: Nov 22, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 2469212

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	Mar 12, 2025	n/a	yes	SAN DIEGO, CA\|Dover, OH\|DOVER, OH	Current employment
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 1, 2021	Mar 11, 2025	no	NEW ORLEANS, LA\|Centerville, OH	Previous registration
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Feb 7, 2020	Nov 1, 2021	no	PITTSBURGH, PA\|DOVER, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jul 6, 2010	Feb 10, 2020	no	Canton, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2007	Jul 12, 2010	no	CANTON, OH\|CANTON, OH	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Nov 22, 1999	Feb 9, 2007	no	CANTON, OH\|CANTON, OH	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
NEWEDGE ADVISORS	LPL FINANCIAL LLC	Mar 11, 2025	Mar 12, 2025	1	Firm change	Ibd to ibd
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	NEWEDGE ADVISORS	Nov 1, 2021	Nov 1, 2021	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Feb 10, 2020	Feb 7, 2020	-3	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Jul 12, 2010	Jul 6, 2010	-6	Firm change	Wirehouse to wirehouse
KEYBANC CAPITAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 9, 2007	Feb 9, 2007	0	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 12, 2025 to presentfactForm ADV
→ NEWEDGE ADVISORSRegistered adviserregistration: previous registration
Nov 1, 2021 to Mar 11, 2025factForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 7, 2020 to Nov 1, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 6, 2010 to Feb 10, 2020factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 9, 2007 to Jul 12, 2010factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Nov 22, 1999 to Feb 9, 2007factForm ADV

Dated events

Occurred
Mar 11, 2025
Advisor changed firm
Kent Rodney Beal left Newedge Advisors for Lpl Financial Llc (registered 2025-03-12)
Form ADVobserved 5 days ago