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RIA / WealthAdvisor42 years in industry

JAMES ALAN WEISS

Advisor at LPL FINANCIAL LLC

Center City, CT | GLASTONBURY, CT

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Search this name across graphsid dfx:ria:8c6d8492-f778-a8e7-e6cd-d3129f57438f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 15, 1990 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: Jun 6, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jun 6, 1984
First registration: May 15, 1990
Dual registered: no
IAPD individual key: 462398

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	Apr 14, 2026	n/a	yes	Center City, CT\|GLASTONBURY, CT	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jan 2, 2018	May 5, 2026	no	Pomfret Center, CT	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Oct 6, 2006	Dec 31, 2017	no	WALTHAM, MA\|POMFRET CENTER, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 8, 2006	Oct 10, 2006	no	POMFRET CENTER, CT	Previous registration
ADVEST, INC.	n/a	May 15, 1990	Mar 8, 2006	no	POMFRET CENTER, CT\|HARTFORD, CT	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
COMMONWEALTH FINANCIAL NETWORK	LPL FINANCIAL LLC	May 5, 2026	Apr 14, 2026	-21	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	COMMONWEALTH FINANCIAL NETWORK	Oct 10, 2006	Oct 6, 2006	-4	Firm change	Wirehouse to ibd
ADVEST, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 8, 2006	Mar 8, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 14, 2026 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jan 2, 2018 to May 5, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 8, 2006 to Oct 10, 2006factForm ADV
→ ADVEST, INC.Registered adviserregistration: previous registration
May 15, 1990 to Mar 8, 2006factForm ADV

Dated events

Occurred
May 5, 2026
Advisor changed firm
James Alan Weiss left Commonwealth Financial Network for Lpl Financial Llc (registered 2026-04-14)
Form ADVobserved 6 days ago