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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)36 years in industry

BRIAN D PLATT

Advisor at INDEPENDENCE SQUARE HOLDINGS, LLC

KING OF PRUSSIA, PA

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Search this name across graphsid dfx:ria:74cf5ed9-2762-ddb7-d007-a83d20a56c76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2002 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: INDEPENDENCE SQUARE HOLDINGS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 26, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 26, 1990
First registration: Jun 5, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2032566

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
INDEPENDENCE SQUARE HOLDINGS, LLC	Independent wealth	Jan 13, 2020	n/a	yes	KING OF PRUSSIA, PA	Current employment
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Sep 13, 2012	Jan 14, 2020	no	KING OF PRUSSIA, PA\|MORRISTOWN, NJ	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jun 5, 2008	Sep 18, 2012	no	KING OF PRUSSIA, PA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Oct 24, 2002	Jun 9, 2008	no	WILMINGTON, DE\|WILMINGTON, DE	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Jun 5, 2002	Oct 24, 2002	no	NEWARK, DE	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
PRIVATE ADVISOR GROUP, LLC	INDEPENDENCE SQUARE HOLDINGS, LLC	Jan 14, 2020	Jan 13, 2020	-1	Firm change	RIA to new firm
CETERA ADVISOR NETWORKS LLC	PRIVATE ADVISOR GROUP, LLC	Sep 18, 2012	Sep 13, 2012	-5	Firm change	Other
PRINCIPAL SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Jun 9, 2008	Jun 5, 2008	-4	Firm change	Other
1717 CAPITAL MANAGEMENT COMPANY	PRINCIPAL SECURITIES, INC.	Oct 24, 2002	Oct 24, 2002	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
155216:300139:NJ:2020-01-14	Jan 14, 2020	Jan 13, 2020	MORRISTOWN, NJ	Firm change

Relationships

Registered with (5)

→ INDEPENDENCE SQUARE HOLDINGS, LLCRegistered adviserregistration: current employment
Jan 13, 2020 to presentfactForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Sep 13, 2012 to Jan 14, 2020factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jun 5, 2008 to Sep 18, 2012factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Oct 24, 2002 to Jun 9, 2008factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Jun 5, 2002 to Oct 24, 2002factForm ADV

Dated events

No dated event names this entity yet.