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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

BRET ROBERT JOHNSON

Advisor at LPL FINANCIAL LLC

DUBUQUE, IA | BELLEVUE, IA

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Search this name across graphsid dfx:ria:8a34ebfd-3343-712d-dcf1-4201be5c633e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 5, 2010 to Sep 15, 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: Aug 3, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Aug 3, 2010
First registration: Aug 5, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 5534987

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	May 4, 2026	n/a	yes	BELLEVUE, IA\|DUBUQUE, IA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 11, 2015	May 12, 2026	no	Maquoketa, IA\|Dubuque, IA\|Dubuque, IA\|Dubuque, IA\|Bellevue, IA\|Galena, IL	Previous registration
BFC PLANNING, INC.	Bd affiliated wealth	Dec 12, 2013	May 20, 2015	no	GALENA, IL\|CEDAR RAPIDS, IA	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jul 29, 2011	Dec 12, 2013	no	GALENA, IL\|GALENA, IL\|Cedar Rapids, IA\|DUBUQUE, IA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 5, 2010	Jun 30, 2011	no	GALENA, IL	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	May 12, 2026	May 4, 2026	-8	Firm change	Ibd to ibd
BFC PLANNING, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	May 20, 2015	May 11, 2015	-9	Firm change	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	BFC PLANNING, INC.	Dec 12, 2013	Dec 12, 2013	0	Firm change	Other
LPL FINANCIAL LLC	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Jun 30, 2011	Jul 29, 2011	29	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 5, 2010 to Jun 30, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 11, 2015 to May 12, 2026factForm ADV
→ BFC PLANNING, INC.Registered adviserregistration: previous registration
Dec 12, 2013 to May 20, 2015factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 29, 2011 to Dec 12, 2013factForm ADV

Dated events

Occurred
May 12, 2026
Advisor changed firm
Bret Robert Johnson left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2026-05-04)
Form ADVobserved 4 days ago