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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

THERON RAWLS DUPREE

Advisor at LPL FINANCIAL LLC

WEST MONROE, LA | SAN DIEGO, CA | West Monroe, LA

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Search this name across graphsid dfx:ria:c534fe5f-704a-953c-3b00-53332472748a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 1, 2004 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: Oct 9, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 9, 1997
First registration: Jul 1, 2004
Dual registered: yes, broker-dealer
Other names: RAWLS DUPREE
IAPD individual key: 2918648

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 7, 2024	n/a	yes	West Monroe, LA\|SAN DIEGO, CA\|WEST MONROE, LA	Current employment
OSAIC FS, INC.	Former SEC adviser	Oct 5, 2022	Jun 7, 2024	no	WEST MONROE, LA\|GREENSBORO, NC\|WEST MONROE, LA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Oct 14, 2022	no	WEST MONROE, LA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 1, 2004	Mar 25, 2017	no	MONROE, LA\|MONROE, LA\|LAFAYETTE, LA\|MONROE, LA\|WEST MONROE, LA\|MONROE, LA	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
OSAIC FS, INC.	LPL FINANCIAL LLC	Jun 7, 2024	Jun 7, 2024	0	Firm change	Ibd to ibd
MML INVESTORS SERVICES, LLC	OSAIC FS, INC.	Oct 14, 2022	Oct 5, 2022	-9	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 7, 2024 to presentfactForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Oct 5, 2022 to Jun 7, 2024factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Oct 14, 2022factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 1, 2004 to Mar 25, 2017factForm ADV

Dated events

Occurred
Jun 7, 2024
Advisor changed firm
Theron Rawls Dupree left Osaic Fs, Inc. for Lpl Financial Llc (registered 2024-06-07)
Form ADVobserved 6 days ago
Occurred
Oct 14, 2022
Advisor changed firm
Theron Rawls Dupree left Mml Investors Services, Llc for Osaic Fs, Inc. (registered 2022-10-05)
Form ADVobserved 6 days ago