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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

SARAH PATRICA PUCKETT

Advisor at LPL FINANCIAL LLC

LEANDER, TX | HORSESHOE BAY, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 23, 1994 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: May 20, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 20, 1994
First registration: May 23, 1994
Dual registered: yes, broker-dealer
Other names: KITTY KEETON|SARAH PATRICA KEETON|KITTY PUCKETT|SARAH PATRICIA PUCKETT
IAPD individual key: 2474287

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	Oct 19, 2016	n/a	yes	LEANDER, TX\|HORSESHOE BAY, TX	Current employment
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Oct 29, 2014	Nov 1, 2016	no	LEANDER, TX\|Leander, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Dec 12, 2011	no	AUSTIN, TX\|AUSTIN, TX	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	May 23, 1994	Jul 1, 2003	no	AUSTIN, 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
INDEPENDENT FINANCIAL PARTNERS	LPL FINANCIAL LLC	Nov 1, 2016	Oct 19, 2016	-13	Firm change	Other
WELLS FARGO ADVISORS	INDEPENDENT FINANCIAL PARTNERS	Dec 12, 2011	Oct 29, 2014	1,052	Firm change after gap	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 19, 2016 to presentfactForm ADV
→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: previous registration
Oct 29, 2014 to Nov 1, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Dec 12, 2011factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
May 23, 1994 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.