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

STEPHEN CHAPMAN WINSLOW

Advisor at LPL FINANCIAL LLC

NORWICH, VT

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Search this name across graphsid dfx:ria:9e260131-db6e-b52e-34b9-aebb18455cad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2006 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 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 15, 2019
First registration: Mar 23, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4960759

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	Oct 16, 2019	n/a	yes	NORWICH, VT	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Oct 12, 2012	no	SYRACUSE, NY\|OSWEGO, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 8, 2010	Oct 1, 2012	no	OSWEGO, NY\|SYRACUSE, NY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 2, 2008	Oct 1, 2010	no	LEBANON, NH\|FORT MILL, SC\|LEBANON, NH\|BETHEL, VT\|CHELSEA, VT\|NORWICH, VT\|WHITE RIVER JUNCTION, VT\|WINDSOR, VT\|WOODSTOCK, VT	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jun 30, 2008	Nov 6, 2008	no	DEWITT, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 23, 2006	Jun 2, 2008	no	MANLIUS, NY\|DEWITT, NY	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
J.P. MORGAN SECURITIES LLC	LPL FINANCIAL LLC	Oct 12, 2012	Oct 16, 2019	2,560	Firm change after gap	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
LPL FINANCIAL LLC	CHASE INVESTMENT SERVICES CORP.	Oct 1, 2010	Oct 8, 2010	7	Firm change	Other
HSBC SECURITIES (USA) INC.	LPL FINANCIAL LLC	Nov 6, 2008	Dec 2, 2008	26	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	HSBC SECURITIES (USA) INC.	Jun 2, 2008	Jun 30, 2008	28	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 2, 2008 to Oct 1, 2010factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Oct 12, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 8, 2010 to Oct 1, 2012factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jun 30, 2008 to Nov 6, 2008factForm ADV

Dated events

No dated event names this entity yet.