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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

MARK DAVID RABIN

Advisor at LPL FINANCIAL LLC

OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:cd141a87-c88c-5975-ec08-df8f16bbde87

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2002 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: Aug 27, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 27, 1982
First registration: Jun 24, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1050414

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	Jan 31, 2018	n/a	yes	OVERLAND PARK, KS	Current employment
PERSONAL FINANCIAL GROUP	Former SEC adviser	Jan 11, 2017	Dec 18, 2018	no	OVERLAND PARK, KS	Previous registration
PERSONAL FINANCIAL GROUP	Former SEC adviser	Dec 17, 2009	Dec 31, 2016	no	OVERLAND PARK, KS	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2005	Nov 30, 2009	no	PHOENIX, AZ\|OVERLAND PARK, KS	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Aug 26, 2004	Oct 31, 2005	no	OVERLAND PARK, KS	Previous registration
PIPER SANDLER & CO.	Institutional manager	Jun 24, 2002	Jul 15, 2004	no	LEAWOOD, KS	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
PERSONAL FINANCIAL GROUP	LPL FINANCIAL LLC	Dec 18, 2018	Jan 31, 2018	-321	Firm change after gap	RIA to RIA
SAGEPOINT FINANCIAL, INC.	PERSONAL FINANCIAL GROUP	Nov 30, 2009	Dec 17, 2009	17	Firm change	Other
SUNAMERICA SECURITIES, INC.	SAGEPOINT FINANCIAL, INC.	Oct 31, 2005	Oct 31, 2005	0	Bulk transfer	Other
PIPER SANDLER & CO.	SUNAMERICA SECURITIES, INC.	Jul 15, 2004	Aug 26, 2004	42	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
116806:6413:KS:2018-12-18	Dec 18, 2018	Jan 31, 2018	OVERLAND PARK, KS	Firm change after gap

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 31, 2018 to presentfactForm ADV
→ PERSONAL FINANCIAL GROUPRegistered adviserregistration: previous registration
Jan 11, 2017 to Dec 18, 2018factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2005 to Nov 30, 2009factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Aug 26, 2004 to Oct 31, 2005factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Jun 24, 2002 to Jul 15, 2004factForm ADV

Dated events

No dated event names this entity yet.