DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

DARIN DAVID COOK

Advisor at LPL FINANCIAL LLC

OAK HARBOR, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b13339c5-5f0e-7c57-eb4a-e3c56997aa20

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2007 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: Jul 8, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jul 8, 1989
First registration: Apr 2, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 1898749

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 27, 2021	n/a	yes	OAK HARBOR, WA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 6, 2020	Sep 24, 2021	no	OAK HARBOR, WA	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Sep 14, 2015	Nov 6, 2020	no	SEATTLE, WA\|Oak Harbor, WA\|SEATTLE, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 10, 2009	Sep 15, 2015	no	OAK HARBOR, WA	Previous registration
EDWARD JONES	National bd RIA	Apr 2, 2007	Jul 14, 2009	no	OAK HARBOR, WA	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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Sep 24, 2021	Sep 27, 2021	3	Firm change	Ibd to ibd
KMS FINANCIAL SERVICES, INC	SECURITIES AMERICA ADVISORS, INC.	Nov 6, 2020	Nov 6, 2020	0	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	KMS FINANCIAL SERVICES, INC	Sep 15, 2015	Sep 14, 2015	-1	Firm change	Other
EDWARD JONES	WELLS FARGO ADVISORS	Jul 14, 2009	Jul 10, 2009	-4	Firm change	Ibd to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
110518:6413:WA:2021-09-24	Sep 24, 2021	Sep 27, 2021	OAK HARBOR, WA	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 27, 2021 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 6, 2020 to Sep 24, 2021factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Sep 14, 2015 to Nov 6, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 10, 2009 to Sep 15, 2015factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 2, 2007 to Jul 14, 2009factForm ADV

Dated events

No dated event names this entity yet.