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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

PATRICIA LYNN SIMMS

Advisor at LPL FINANCIAL LLC

BRUNSWICK, GA

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Search this name across graphsid dfx:ria:85400140-c00b-36a7-0b26-991aa8a87bd3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 13, 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: Jul 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom 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: S63|S65
First exam: Jul 14, 2005
First registration: Jul 13, 2006
Dual registered: yes, broker-dealer
Other names: PATRICIA LYNN TROEMEL|TRISHA TROEMEL|PATTI SINEATH|PAT SINEATH|TRISHA SIMMS
IAPD individual key: 2693857

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	Jan 23, 2025	n/a	yes	BRUNSWICK, GA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 10, 2020	Jan 22, 2025	no	BRUNSWICK, GA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2013	Nov 12, 2020	no	BRUNSWICK, GA\|BRUNSWICK, GA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 11, 2009	Jul 12, 2013	no	BRUNSWICK, GA\|SAN DIEGO, CA\|BRUNSWICK, GA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Feb 19, 2009	no	SAINT PETERSBURG, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jul 13, 2006	Jan 2, 2009	no	Moultrie, GA\|ST. SIMONS ISLAND, GA\|ST. SIMONS ISLAND, GA	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
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Jan 22, 2025	Jan 23, 2025	1	Firm change	Ibd to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Sep 10, 2020	-63	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 12, 2013	Jul 2, 2013	-10	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	LPL FINANCIAL LLC	Feb 19, 2009	Mar 11, 2009	20	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 11, 2009 to Jul 12, 2013factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Sep 10, 2020 to Jan 22, 2025factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2013 to Nov 12, 2020factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Feb 19, 2009factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 13, 2006 to Jan 2, 2009factForm ADV

Dated events

Occurred
Jan 22, 2025
Advisor changed firm
Patricia Lynn Simms left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2025-01-23)
Form ADVobserved 6 days ago