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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Joanne Wagner

Advisor at LPL FINANCIAL LLC

SEATTLE, WA

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Search this name across graphsid dfx:ria:93afdbb7-12d8-94de-2a64-5bf9a9b480f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2009 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: Feb 7, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 7, 2009
First registration: Feb 9, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 4741938

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 15, 2025	n/a	yes	SEATTLE, WA	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Feb 7, 2023	May 15, 2025	no	SEATTLE, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 11, 2016	Feb 1, 2023	no	LYNNWOOD, WA\|LYNNWOOD, WA\|SEATTLE, WA\|SHORELINE, WA\|EVERETT, WA\|MUKILTEO, WA\|EDMONDS, WA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Oct 2, 2014	May 10, 2016	no	SEATTLE, WA	Previous registration
FINANCIAL ADVISOR SELECT LLC	Former SEC adviser	Feb 11, 2013	Jan 24, 2014	no	LAKE FOREST PARK, WA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 2, 2011	Apr 18, 2012	no	Silverdale, WA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 9, 2009	Jun 5, 2009	no	SEQUIM, WA	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
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CUSO FINANCIAL SERVICES, L.P.	Feb 1, 2023	Feb 7, 2023	6	Firm change	Wirehouse to ibd
MML INVESTORS SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 10, 2016	May 11, 2016	1	Firm change	Other
FINANCIAL ADVISOR SELECT LLC	MML INVESTORS SERVICES, LLC	Jan 24, 2014	Oct 2, 2014	251	Firm change	Other
MORGAN STANLEY	FINANCIAL ADVISOR SELECT LLC	Apr 18, 2012	Feb 11, 2013	299	Firm change	Wirehouse to new firm
AMERIPRISE FINANCIAL SERVICES, LLC	MORGAN STANLEY	Jun 5, 2009	Jun 2, 2011	727	Firm change after gap	Ibd to wirehouse

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Feb 7, 2023 to May 15, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 11, 2016 to Feb 1, 2023factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Oct 2, 2014 to May 10, 2016factForm ADV
→ FINANCIAL ADVISOR SELECT LLCRegistered adviserregistration: previous registration
Feb 11, 2013 to Jan 24, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 2, 2011 to Apr 18, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 9, 2009 to Jun 5, 2009factForm ADV

Dated events

Occurred
Feb 1, 2023
Advisor changed firm
Joanne Wagner left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Cuso Financial Services, L.P. (registered 2023-02-07)
Form ADVobserved 4 days ago