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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

BRIAN SCOTT URIE

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cb1be6dd-79ab-8dd1-e502-ec781a492ebd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2001 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 19, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Aug 19, 1998
First registration: Nov 6, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 3091085

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	Aug 28, 2015	n/a	yes	SO. OGDEN, UT\|MERIDIAN, ID\|ST GEORGE, UT\|SANDY, UT\|CENTERVILLE, UT\|QUEEN CREEK, AZ\|MIDVALE, UT\|WEST JORDAN, UT	Current employment
TREK FINANCIAL	Independent wealth	Mar 11, 2009	May 29, 2012	no	SALT LAKE CITY, UT	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jun 1, 2005	Aug 5, 2015	no	SALT LAKE CITY, UT\|SALT LAKE CITY, UT\|DRAPER, UT\|SALT LAKE CITY, UT	Previous registration
MONY SECURITIES CORPORATION	n/a	Jul 23, 2002	Jun 1, 2005	no	SALT LAKE CITY , UT	Previous registration
TREK FINANCIAL	Independent wealth	Nov 6, 2001	Jul 20, 2007	no	MIDVALE, UT	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
EQUITABLE ADVISORS, LLC	TREK FINANCIAL	Aug 5, 2015	Mar 11, 2009	-2,338	Firm change after gap	Other
TREK FINANCIAL	LPL FINANCIAL LLC	May 29, 2012	Aug 28, 2015	1,186	Firm change after gap	Other
TREK FINANCIAL	MONY SECURITIES CORPORATION	Jul 20, 2007	Jul 23, 2002	-1,823	Firm change after gap	Other
MONY SECURITIES CORPORATION	EQUITABLE ADVISORS, LLC	Jun 1, 2005	Jun 1, 2005	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 28, 2015 to presentfactForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 1, 2005 to Aug 5, 2015factForm ADV
→ TREK FINANCIALRegistered adviserregistration: previous registration
Mar 11, 2009 to May 29, 2012factForm ADV
→ MONY SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 23, 2002 to Jun 1, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb1be6dd-79ab-8dd1-e502-ec781a492ebd
First observed: Nov 6, 2001
Last observed: Sep 15, 2026 5 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.

BRIAN SCOTT URIE

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cb1be6dd-79ab-8dd1-e502-ec781a492ebd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.