DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MAX JAMES HANGARTNER

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA

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:77ca277d-9743-edc6-995f-21d5658a6cad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 31, 2006 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: Apr 18, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 18, 2003
First registration: May 31, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4616599

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	Nov 10, 2015	n/a	yes	SAN DIEGO, CA	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jul 19, 2011	Nov 30, 2015	no	LAJOLLA, CA\|RAMONA, CA\|SAN DIEGO, CA\|POWAY, CA\|RAMONA, CA\|SPRING VALLEY, CA\|SAN DIEGO, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Jul 11, 2011	no	RAMONA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	May 31, 2006	May 2, 2009	no	SAN DIEGO , CA\|RAMONA, CA\|SAN DIEGO, CA	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
U.S. BANCORP ADVISORS, LLC	LPL FINANCIAL LLC	Nov 30, 2015	Nov 10, 2015	-20	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	U.S. BANCORP ADVISORS, LLC	Jul 11, 2011	Jul 19, 2011	8	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 10, 2015 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 19, 2011 to Nov 30, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Jul 11, 2011factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
May 31, 2006 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.