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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

MARK RICHARD LOFT

Advisor at LPL FINANCIAL LLC

PEPPER PIKE, OH | GERMANTOWN, TN | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:8eb25ea0-a58a-632d-e171-ee94413ab28c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 8, 2004 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: Sep 3, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Sep 3, 1987
First registration: Apr 8, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 1717679

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 8, 2024	n/a	yes	PEPPER PIKE, OH\|SAN DIEGO, CA\|GERMANTOWN, TN	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 26, 2022	May 9, 2024	no	Memphis, TN\|Pepper Pike, OH	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Aug 20, 2014	Dec 31, 2022	no	Memphis, TN\|Memphis, TN\|Pepper Pike, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 29, 2006	Sep 2, 2014	no	MEMPHIS, TN	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 8, 2004	Aug 16, 2006	no	MEMPHIS, TN\|MEMPHIS, TN	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
B. RILEY WEALTH ADVISORS, INC.	LPL FINANCIAL LLC	May 9, 2024	May 8, 2024	-1	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Jul 26, 2022	-158	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	B RILEY WEALTH MANAGEMENT	Sep 2, 2014	Aug 20, 2014	-13	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Aug 16, 2006	Aug 29, 2006	13	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 8, 2024 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 26, 2022 to May 9, 2024factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Aug 20, 2014 to Dec 31, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 29, 2006 to Sep 2, 2014factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 8, 2004 to Aug 16, 2006factForm ADV

Dated events

Occurred
May 9, 2024
Advisor changed firm
Mark Richard Loft left B. Riley Wealth Advisors, Inc. for Lpl Financial Llc (registered 2024-05-08)
Form ADVobserved 5 days ago