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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

Brian James Venn

Advisor at LPL FINANCIAL LLC

CHICAGO, IL

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Search this name across graphsid dfx:ria:cbbccbab-d169-02b6-1543-a8e51c363e2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2001 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: Feb 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Feb 18, 1999
First registration: Feb 8, 2001
Dual registered: yes, broker-dealer
Other names: Brian Venn
IAPD individual key: 3167657

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	Apr 3, 2026	n/a	yes	CHICAGO, IL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 2, 2021	Feb 23, 2026	no	San Diego, CA\|North Hollywood, CA\|Pasadena, CA\|Covina, CA\|Vista, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 8, 2020	Aug 2, 2021	no	SAN DIEGO, CA\|San Diego, CA\|San Diego, CA\|San Diego, CA\|San Diego, CA\|San Diego, CA\|San Diego, CA\|El Cajon, CA\|Imperial Beach, CA\|La Mesa, CA\|Chula Vista, CA\|Chula Vista, CA\|Encinitas, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Apr 7, 2015	Jan 3, 2020	no	ENCINO, CA\|Tarzana, CA\|ENCINO, CA\|Sherman Oaks, CA\|KANSAS CITY, MO\|NORTHRIDGE, CA\|Independence, MO	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 4, 2013	Mar 11, 2015	no	VENTURA, CA\|VENTURA, CA\|VENTURA, CA\|VENTURA, CA\|SANTA BARBARA, CA\|SANTA BARBARA, CA\|MONTECITO, CA\|VENTURA, CA\|SANTA PAULA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jan 8, 2013	no	SAN LUIS OBISPO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Sep 9, 2005	Jan 3, 2011	no	CAMARILLO, CA\|CAMARILLO, CA\|CAMARILLO, CA\|CAMARILLO, CA\|SANTA BARBARA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jun 30, 2004	Aug 30, 2005	no	IRVINE, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Feb 8, 2001	Apr 2, 2003	no	IRVINE, CA	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Feb 23, 2026	Apr 3, 2026	39	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 2, 2021	Aug 2, 2021	0	Firm change	Ibd to ibd
U.S. BANCORP INVESTMENTS, INC.	CUSO FINANCIAL SERVICES, L.P.	Jan 3, 2020	Jan 8, 2020	5	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	U.S. BANCORP INVESTMENTS, INC.	Mar 11, 2015	Apr 7, 2015	27	Firm change	Other
WELLS FARGO ADVISORS	J.P. MORGAN SECURITIES LLC	Jan 8, 2013	Jan 4, 2013	-4	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	WELLS FARGO INVESTMENTS, LLC	Aug 30, 2005	Sep 9, 2005	10	Firm change	Other
OSAIC FA, INC.	WAMU INVESTMENTS, INC.	Apr 2, 2003	Jun 30, 2004	455	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
6363:6413:CA:2026-02-23	Feb 23, 2026	Apr 3, 2026	VISTA, CA	Firm change
42132:6363:CA:2021-08-02	Aug 2, 2021	Aug 2, 2021	ENCINITAS, CA	Firm change
79:17868:CA:2015-03-11	Mar 11, 2015	Apr 7, 2015	SANTA PAULA, CA	Firm change

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 3, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 2, 2021 to Feb 23, 2026factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 8, 2020 to Aug 2, 2021factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 7, 2015 to Jan 3, 2020factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 4, 2013 to Mar 11, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jan 8, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 9, 2005 to Jan 3, 2011factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 30, 2004 to Aug 30, 2005factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Feb 8, 2001 to Apr 2, 2003factForm ADV

Dated events

Occurred
Feb 23, 2026
Advisor changed firm
Brian James Venn left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2026-04-03)
Form ADVobserved 6 days ago