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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JOHN DOUGLAS SEWARD

Advisor at LPL FINANCIAL LLC

CLEARWATER, FL

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Search this name across graphsid dfx:ria:935b7ba7-d6dd-554f-7c32-010bb381ac53

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 27, 2005 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: Nov 1, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Dec 27, 1999
First registration: May 27, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4845964

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 15, 2018	n/a	yes	CLEARWATER, FL	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Feb 18, 2011	Feb 15, 2018	no	CLEARWATER, FL\|TAMPA, FL\|CLEARWATER, FL\|TAMPA, FL	Previous registration
NJR INVESTMENT ADVISORY, INC.	n/a	Jul 22, 2008	Dec 31, 2010	no	TAMPA, FL\|TAMPA, FL	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	May 27, 2005	Jul 8, 2008	no	TAMPA, FL\|TAMPA, FL\|CLEARWATER, 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
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Feb 15, 2018	Feb 15, 2018	0	Bulk transfer	Other
NJR INVESTMENT ADVISORY, INC.	INVEST FINANCIAL CORPORATION	Dec 31, 2010	Feb 18, 2011	49	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	NJR INVESTMENT ADVISORY, INC.	Jul 8, 2008	Jul 22, 2008	14	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 15, 2018 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Feb 18, 2011 to Feb 15, 2018factForm ADV
→ NJR INVESTMENT ADVISORY, INC.Registered adviserregistration: previous registration
Jul 22, 2008 to Dec 31, 2010factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
May 27, 2005 to Jul 8, 2008factForm ADV

Dated events

No dated event names this entity yet.