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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

MARCEL STEPHEN THERIOT

Advisor at LPL FINANCIAL LLC

SUGAR LAND, TX | HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 19, 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: Oct 19, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom 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: S65|S63
First exam: Jun 17, 2009
First registration: Oct 19, 2007
Dual registered: yes, broker-dealer
Other names: MARCEL S THERIOT
IAPD individual key: 2408007

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	Jun 12, 2024	n/a	yes	HOUSTON, TX\|SUGAR LAND, TX	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Dec 17, 2015	Aug 25, 2023	no	San Antonio, TX\|SAN DIEGO, CA\|San Antonio, TX\|San Antonio, TX	Previous registration
SWBC INVESTMENT COMPANY	Independent wealth	Aug 24, 2010	Dec 31, 2013	no	SAN ANTONIO, TX	Previous registration
TRI-STAR ADVISORS, INC.	Former SEC adviser	May 26, 2009	Aug 3, 2010	no	HOUSTON, TX	Previous registration
SARACEN ENERGY ADVISORS, LP	Former SEC adviser	Oct 19, 2007	Aug 29, 2008	no	HOUSTON, TX	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
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	Aug 25, 2023	Jun 12, 2024	292	Firm change	Ibd to ibd
SWBC INVESTMENT COMPANY	CUSO FINANCIAL SERVICES, L.P.	Dec 31, 2013	Dec 17, 2015	716	Firm change after gap	Other
TRI-STAR ADVISORS, INC.	SWBC INVESTMENT COMPANY	Aug 3, 2010	Aug 24, 2010	21	Firm change	Other
SARACEN ENERGY ADVISORS, LP	TRI-STAR ADVISORS, INC.	Aug 29, 2008	May 26, 2009	270	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 12, 2024 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Dec 17, 2015 to Aug 25, 2023factForm ADV
→ SWBC INVESTMENT COMPANYRegistered adviserregistration: previous registration
Aug 24, 2010 to Dec 31, 2013factForm ADV
→ TRI-STAR ADVISORS, INC.Registered adviserregistration: previous registration
May 26, 2009 to Aug 3, 2010factForm ADV
→ SARACEN ENERGY ADVISORS, LPRegistered adviserregistration: previous registration
Oct 19, 2007 to Aug 29, 2008factForm ADV

Dated events

Occurred
Aug 25, 2023
Advisor changed firm
Marcel Stephen Theriot left Cuso Financial Services, L.P. for Lpl Financial Llc (registered 2024-06-12)
Form ADVobserved 5 days ago