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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

PETER MICHAEL GILLESPIE

Advisor at LPL FINANCIAL LLC

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:9b8a479c-9e77-adfb-55bc-045140af262a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2001 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: Mar 2, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 2, 2001
First registration: Mar 22, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4289995

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	Dec 15, 2011	n/a	yes	SACRAMENTO, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Dec 15, 2011	no	SACRAMENTO, CA\|SACRAMENTO, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Nov 17, 2005	Jan 1, 2008	no	ST. LOUIS, MO\|SACRAMENTO, CA	Previous registration
AVISEN ADVISORS, LLC	Independent wealth	Jul 14, 2004	Dec 12, 2005	no	n/a	Previous registration
AVISEN ADVISORS, LLC	Independent wealth	Jul 14, 2004	Dec 31, 2004	no	SACRAMENTO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 22, 2001	Apr 7, 2004	no	SACRAMENTO, CA	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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Dec 15, 2011	Dec 15, 2011	0	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
AVISEN ADVISORS, LLC	A. G. EDWARDS & SONS, INC.	Dec 12, 2005	Nov 17, 2005	-25	Firm change	Other
MORGAN STANLEY DW INC.	AVISEN ADVISORS, LLC	Apr 7, 2004	Jul 14, 2004	98	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 15, 2011 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Dec 15, 2011factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Nov 17, 2005 to Jan 1, 2008factForm ADV
→ AVISEN ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 14, 2004 to Dec 12, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 22, 2001 to Apr 7, 2004factForm ADV

Dated events

No dated event names this entity yet.