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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)37 years in industry

ANN BAKER RONN

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | Houston, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:c19df80e-46d3-0a53-8465-56b1ba84f98c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 21, 1992 to Sep 15, 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 14, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S63
First exam: Aug 14, 1989
First registration: Feb 21, 1992
Dual registered: yes, broker-dealer
IAPD individual key: 1945908

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	Feb 22, 2026	n/a	yes	HOUSTON, TX\|Houston, TX\|SAN DIEGO, CA	Current employment
AMERITAS ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 1, 2021	Mar 6, 2026	no	HOUSTON, TX	Previous registration
AMERITAS ADVISORY SERVICES	Former SEC adviser	Jan 24, 2007	Nov 1, 2021	no	HOUSTON, TX\|CINCINNATI, OH\|HOUSTON, TX\|LINCOLN, NE\|Austin, TX\|Glendale, AZ\|Austin, TX\|Lincoln, NE\|Omaha, NE	Previous registration
THE AFP GROUP	n/a	Jan 1, 2003	Dec 31, 2012	no	n/a	Previous registration
THE AFP GROUP	n/a	Oct 25, 2002	Dec 31, 2002	no	HOUSTON, TX	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Feb 21, 1992	Jan 29, 2007	no	HOUSTON, TX\|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
AMERITAS ADVISORY SERVICES, LLC	LPL FINANCIAL LLC	Mar 6, 2026	Feb 22, 2026	-12	Firm change	Ibd to ibd
AMERITAS ADVISORY SERVICES	AMERITAS ADVISORY SERVICES, LLC	Nov 1, 2021	Nov 1, 2021	0	Bulk transfer	Ibd to ibd
THE AFP GROUP	AMERITAS ADVISORY SERVICES	Dec 31, 2012	Jan 24, 2007	-2,168	Firm change after gap	Other
OSAIC WEALTH, INC.	THE AFP GROUP	Jan 29, 2007	Oct 25, 2002	-1,557	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
317245:6413:TX:2026-02-24	Mar 6, 2026	Feb 22, 2026	HOUSTON, TX	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 22, 2026 to presentfactForm ADV
→ AMERITAS ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Nov 1, 2021 to Mar 6, 2026factForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
Jan 24, 2007 to Nov 1, 2021factForm ADV
→ THE AFP GROUPRegistered adviserregistration: previous registration
Jan 1, 2003 to Dec 31, 2012factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Feb 21, 1992 to Jan 29, 2007factForm ADV

Dated events

Occurred
Mar 6, 2026
Advisor changed firm
Ann Baker Ronn left Ameritas Advisory Services, Llc for Lpl Financial Llc (registered 2026-02-22)
Form ADVobserved 6 days ago