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

Jul 1, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Nov 25, 2012

First registration

Jan 15, 2014

Dual registered

yes, broker-dealer

IAPD individual key

2554836

• Occurred

  Aug 14, 2023
  Advisor changed firm

  Christopher Milton Dock left Kestra Advisory Services, Llc for Lpl Financial Llc (registered 2023-08-14)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:be62604e-576c-cc3f-46fd-bbe6e093b2c2

First observed

Jan 15, 2014

Last observed

Sep 14, 2026 6 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.