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.

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

Apr 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Jun 17, 2016

First registration

Jul 5, 2016

Dual registered

yes, broker-dealer

IAPD individual key

6634573

• Occurred

  Aug 28, 2026
  Advisor changed firm

  Mark Daniel Batty left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2026-08-27)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a604a75a-a1b2-86af-a33e-0c474e4bb290

First observed

Jul 5, 2016

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.