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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

CALEB JOHN MONTAG

Advisor at LPL FINANCIAL LLC

SPEARFISH, SD

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Search this name across graphsid dfx:ria:8e810f8f-360d-5562-3114-e223ab56b4af

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 10, 2014 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 23, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 23, 2014
First registration: Jul 10, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 6337773

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	Mar 18, 2024	n/a	yes	SPEARFISH, SD	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 16, 2018	Mar 19, 2024	no	SIOUX FALLS, SD\|SIOUX FALLS, SD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 14, 2018	Oct 25, 2018	no	SIOUX FALLS, SD	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Jun 14, 2016	Feb 14, 2018	no	Sioux Falls, SD	Previous registration
CRI SECURITIES, LLC	Former SEC adviser	Jul 10, 2014	Jun 15, 2016	no	IOWA CITY, IA	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 10, 2014	Jun 15, 2016	no	IOWA CITY, IA	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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Mar 19, 2024	Mar 18, 2024	-1	Firm change	Ibd to ibd
LPL FINANCIAL LLC	SECURITIES AMERICA ADVISORS, INC.	Oct 25, 2018	Oct 16, 2018	-9	Firm change	RIA to ibd
SII INVESTMENTS, INC.	LPL FINANCIAL LLC	Feb 14, 2018	Feb 14, 2018	0	Bulk transfer	Ibd to RIA
SECURIAN FINANCIAL SERVICES, INC.	CRI SECURITIES, LLC	Jun 15, 2016	Jul 10, 2014	-706	Firm change after gap	Other
CRI SECURITIES, LLC	SECURIAN FINANCIAL SERVICES, INC.	Jun 15, 2016	Jul 10, 2014	-706	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110518:6413:SD:2024-03-19	Mar 19, 2024	Mar 18, 2024	SIOUX FALLS, SD	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 14, 2018 to Oct 25, 2018factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 16, 2018 to Mar 19, 2024factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 14, 2016 to Feb 14, 2018factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 10, 2014 to Jun 15, 2016factForm ADV
→ CRI SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 10, 2014 to Jun 15, 2016factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
Caleb John Montag left Securities America Advisors, Inc. for Lpl Financial Llc (registered 2024-03-18)
Form ADVobserved 5 days ago