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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

WENDELL DAVID MARSHALL

Advisor at LPL FINANCIAL LLC

MOUNT DORA, FL

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Search this name across graphsid dfx:ria:8851078e-94e2-3d9a-b962-4d803ef5e2e4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2001 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: Jan 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 19, 1993
First registration: Nov 19, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2274890

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	Oct 15, 2018	n/a	yes	MOUNT DORA, FL	Current employment
CADARET GRANT & CO INC	Former SEC adviser	Mar 2, 2009	Oct 8, 2018	no	SYRACUSE, NY\|MOUNT DORA, FL\|SYRACUSE, NY	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2005	Feb 19, 2009	no	MT DORA, FL	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Nov 19, 2001	Oct 31, 2005	no	MOUNT DORA, FL	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
CADARET GRANT & CO INC	LPL FINANCIAL LLC	Oct 8, 2018	Oct 15, 2018	7	Firm change	RIA to RIA
SAGEPOINT FINANCIAL, INC.	CADARET GRANT & CO INC	Feb 19, 2009	Mar 2, 2009	11	Firm change	Other
SUNAMERICA SECURITIES, INC.	SAGEPOINT FINANCIAL, INC.	Oct 31, 2005	Oct 31, 2005	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 15, 2018 to presentfactForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Mar 2, 2009 to Oct 8, 2018factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2005 to Feb 19, 2009factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Nov 19, 2001 to Oct 31, 2005factForm ADV

Dated events

No dated event names this entity yet.