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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

BROOKS MATTHEW WALLINGTON

Advisor at LPL FINANCIAL LLC

ST. PETERSBURG, FL

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Search this name across graphsid dfx:ria:92ea6a9b-32b4-b99a-817f-b2e487395eda

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2008 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 29, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 29, 2006
First registration: Mar 28, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5132549

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	Feb 19, 2025	n/a	yes	ST. PETERSBURG, FL	Current employment
PSI ADVISORS, LLC	Independent wealth	Feb 13, 2019	Feb 5, 2025	no	St. Petersburg, FL\|St Petersburg, FL	Previous registration
PSI ADVISORS, LLC	Independent wealth	Jul 5, 2017	Dec 31, 2018	no	St. Petersburg, FL	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Dec 1, 2015	Jul 10, 2017	no	St Petersburg, FL\|Ste Petersburg, FL\|Tampa, FL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 4, 2014	Nov 23, 2015	no	TAMPA, FL\|ST. PETERSBURG, FL\|FORT LAUDERDALE, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Mar 18, 2013	May 29, 2014	no	TAMPA, FL\|ST. PETERSBURG, FL	Previous registration
SYNOVUS SECURITIES, INC.	Bd affiliated wealth	Feb 27, 2012	Mar 5, 2013	no	TAMPA, FL\|COLUMBUS, GA\|ST. PETERSBURG, FL\|CLEARWATER, FL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Mar 28, 2008	Feb 3, 2012	no	TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|WESLEY CHAPEL, FL\|WESLEY CHAPEL, FL\|ST PETERSBURG, FL\|TAMPA, FL\|TAMPA, FL\|ODESSA, FL\|TAMPA, FL\|TAMPA, FL\|CLEARWATER, FL\|TREASURE ISLAND, FL\|LUTZ, FL\|LARGO, 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
PSI ADVISORS, LLC	LPL FINANCIAL LLC	Feb 5, 2025	Feb 19, 2025	14	Firm change	RIA to ibd
PRINCIPAL SECURITIES, INC.	PSI ADVISORS, LLC	Jul 10, 2017	Jul 5, 2017	-5	Firm change	Other
MSI FINANCIAL SERVICES, INC.	PRINCIPAL SECURITIES, INC.	Nov 23, 2015	Dec 1, 2015	8	Firm change	Other
PRUCO SECURITIES, LLC	MSI FINANCIAL SERVICES, INC.	May 29, 2014	Jun 4, 2014	6	Firm change	Other
SYNOVUS SECURITIES, INC.	PRUCO SECURITIES, LLC	Mar 5, 2013	Mar 18, 2013	13	Firm change	Other
FIFTH THIRD SECURITIES, INC.	SYNOVUS SECURITIES, INC.	Feb 3, 2012	Feb 27, 2012	24	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 19, 2025 to presentfactForm ADV
→ PSI ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 13, 2019 to Feb 5, 2025factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Dec 1, 2015 to Jul 10, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 4, 2014 to Nov 23, 2015factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 18, 2013 to May 29, 2014factForm ADV
→ SYNOVUS SECURITIES, INC.Registered adviserregistration: previous registration
Feb 27, 2012 to Mar 5, 2013factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Mar 28, 2008 to Feb 3, 2012factForm ADV

Dated events

Occurred
Feb 5, 2025
Advisor changed firm
Brooks Matthew Wallington left Psi Advisors, Llc for Lpl Financial Llc (registered 2025-02-19)
Form ADVobserved 4 days ago