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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

BRIAN PHILIP KONTY

Advisor at LPL FINANCIAL LLC

CANON CITY, CO

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Search this name across graphsid dfx:ria:b321fec7-9b84-d38e-f232-cff9fd36754b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 8, 2002 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 29, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 29, 2002
First registration: Oct 8, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4501331

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 4, 2024	n/a	yes	CANON CITY, CO	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Mar 30, 2020	Mar 7, 2024	no	CANON CITY, CO	Previous registration
TRIUMPH CAPITAL MANAGEMENT	Independent wealth	Feb 18, 2016	Apr 15, 2020	no	Canon City, CO\|DENVER, CO	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 13, 2015	Feb 11, 2020	no	Canon City, CO\|CANON CITY, CO	Previous registration
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Former SEC adviser	Feb 11, 2015	Nov 13, 2015	no	Canon City, CO\|DENVER, CO	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 8, 2002	Feb 17, 2015	no	NEW YORK, NY\|CANON CITY, CO\|CANON CITY, CO	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
ARBOR POINT ADVISORS	LPL FINANCIAL LLC	Mar 7, 2024	Mar 4, 2024	-3	Firm change	Ibd to ibd
TRIUMPH CAPITAL MANAGEMENT	ARBOR POINT ADVISORS	Apr 15, 2020	Mar 30, 2020	-16	Firm change	RIA to ibd
CETERA INVESTMENT ADVISERS LLC	TRIUMPH CAPITAL MANAGEMENT	Feb 11, 2020	Feb 18, 2016	-1,454	Firm change after gap	Other
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Nov 13, 2015	Oct 13, 2015	-31	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC	Feb 17, 2015	Feb 11, 2015	-6	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 4, 2024 to presentfactForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Mar 30, 2020 to Mar 7, 2024factForm ADV
→ TRIUMPH CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Feb 18, 2016 to Apr 15, 2020factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Oct 13, 2015 to Feb 11, 2020factForm ADV
→ J P TURNER & COMPANY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 11, 2015 to Nov 13, 2015factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 8, 2002 to Feb 17, 2015factForm ADV

Dated events

Occurred
Mar 7, 2024
Advisor changed firm
Brian Philip Konty left Arbor Point Advisors for Lpl Financial Llc (registered 2024-03-04)
Form ADVobserved 6 days ago