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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

ALAN JOHN CHAPMAN

Advisor at LPL FINANCIAL LLC

HADDONFIELD, NJ

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Search this name across graphsid dfx:ria:a1228e14-133f-379b-7b60-bbd3ce6e715b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 17, 2010 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: Aug 9, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 9, 2010
First registration: Aug 17, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 5784119

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	Sep 10, 2024	n/a	yes	HADDONFIELD, NJ	Current employment
OSAIC FA, INC.	Former SEC adviser	Jun 10, 2016	Sep 10, 2024	no	CHERRY HILL, NJ	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Jan 24, 2012	Jun 9, 2016	no	Radnor, PA	Previous registration
MERCADIEN ASSET MANAGEMENT, LLC	Former SEC adviser	Jul 19, 2011	Nov 10, 2011	no	HAMILTON, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Aug 17, 2010	Apr 28, 2011	no	PHILADELPHIA, PA\|PHILADELPHIA, PA\|Philadelphia, PA	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
OSAIC FA, INC.	LPL FINANCIAL LLC	Sep 10, 2024	Sep 10, 2024	0	Firm change	Ibd to ibd
JANNEY MONTGOMERY SCOTT LLC	OSAIC FA, INC.	Jun 9, 2016	Jun 10, 2016	1	Firm change	Other
MERCADIEN ASSET MANAGEMENT, LLC	JANNEY MONTGOMERY SCOTT LLC	Nov 10, 2011	Jan 24, 2012	75	Firm change	Other
MORGAN STANLEY	MERCADIEN ASSET MANAGEMENT, LLC	Apr 28, 2011	Jul 19, 2011	82	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
3978:6413:NJ:2024-09-10	Sep 10, 2024	Sep 10, 2024	CHERRY HILL, NJ	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 10, 2024 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jun 10, 2016 to Sep 10, 2024factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Jan 24, 2012 to Jun 9, 2016factForm ADV
→ MERCADIEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 19, 2011 to Nov 10, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 17, 2010 to Apr 28, 2011factForm ADV

Dated events

Occurred
Sep 10, 2024
Advisor changed firm
Alan John Chapman left Osaic Fa, Inc. for Lpl Financial Llc (registered 2024-09-10)
Form ADVobserved 6 days ago