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

Mar 13, 1996earliest registration or exam on IAPD

Years in industry

30derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Mar 13, 1996

First registration

Jun 23, 1997

Dual registered

yes, broker-dealer

IAPD individual key

2714789

• Occurred

  Oct 16, 2024
  Advisor changed firm

  Eric Vincent Baertels left Raymond James & Associates, Inc. for Lpl Financial Llc (registered 2024-10-08)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7cd04db3-e765-dce1-e454-9bb0348dbd8e

First observed

Jun 23, 1997

Last observed

Sep 14, 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.