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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

KEVIN JOHN MCCORMICK

Advisor at LPL FINANCIAL LLC

DELAFIELD, WI | WAUKESHA, WI | PEWAUKEE, WI

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Search this name across graphsid dfx:ria:abc3c654-db04-e380-d4da-c91dc7599041

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 15, 2005 to Sep 15, 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: Jul 29, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 29, 1999
First registration: Sep 15, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 3253164

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	Mar 24, 2021	n/a	yes	WAUKESHA, WI\|DELAFIELD, WI\|PEWAUKEE, WI	Current employment
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Aug 1, 2012	Mar 24, 2021	no	DELAFIELD, WI\|WAUKESHA, WI\|CHICAGO, IL	Previous registration
M&I INVESTMENT MANAGEMENT CORP.	Former SEC adviser	Apr 28, 2010	Apr 19, 2012	no	MILWAUKEE, WI	Previous registration
M&I FINANCIAL ADVISORS, INC.	Former SEC adviser	Sep 15, 2005	Aug 1, 2012	no	BROOKFIELD, WI\|WAUKESHA, WI\|WAUKESHA, WI\|MUKWONAGO, WI\|DELAFIELD, WI	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
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
M&I FINANCIAL ADVISORS, INC.	M&I INVESTMENT MANAGEMENT CORP.	Aug 1, 2012	Apr 28, 2010	-826	Bulk transfer	Other
M&I INVESTMENT MANAGEMENT CORP.	BMO HARRIS FINANCIAL ADVISORS, INC	Apr 19, 2012	Aug 1, 2012	104	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 24, 2021 to presentfactForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Aug 1, 2012 to Mar 24, 2021factForm ADV
→ M&I FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
→ M&I INVESTMENT MANAGEMENT CORP.Registered adviserregistration: previous registration
Apr 28, 2010 to Apr 19, 2012factForm ADV

Dated events

No dated event names this entity yet.