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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Amy M Hawkins

Advisor at LPL FINANCIAL LLC

Littleton, CO | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:d1dc03d0-ba18-d1b3-268d-a3d0ec170230

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 25, 2000 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: May 19, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 19, 1997
First registration: Aug 25, 2000
Dual registered: yes, broker-dealer
Other names: AMY JOYCE|AMY MARIE HAWKINS|Amy Marie Joyce
IAPD individual key: 2769469

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	Oct 14, 2025	n/a	yes	Littleton, CO\|SAN DIEGO, CA	Current employment
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Nov 13, 2024	Oct 13, 2025	no	MINNEAPOLIS, MN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 28, 2006	Sep 12, 2024	no	DENVER, CO\|DENVER, CO\|WEEHAWKEN, NJ\|Littleton, CO	Previous registration
PIPER SANDLER & CO.	Institutional manager	Oct 27, 2005	Mar 28, 2006	no	EVERGREEN, CO\|EVERGREEN, CO	Previous registration
PIPER SANDLER & CO.	Institutional manager	Aug 25, 2000	Jun 30, 2005	no	DENVER, CO	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
THRIVENT INVESTMENT MANAGEMENT INC.	LPL FINANCIAL LLC	Oct 13, 2025	Oct 14, 2025	1	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	THRIVENT INVESTMENT MANAGEMENT INC.	Sep 12, 2024	Nov 13, 2024	62	Firm change	Wirehouse to ibd
PIPER SANDLER & CO.	UBS FINANCIAL SERVICES INC.	Mar 28, 2006	Apr 28, 2006	31	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 14, 2025 to presentfactForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Nov 13, 2024 to Oct 13, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 28, 2006 to Sep 12, 2024factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Oct 27, 2005 to Mar 28, 2006factForm ADV

Dated events

Occurred
Oct 13, 2025
Advisor changed firm
Amy M Hawkins left Thrivent Investment Management Inc. for Lpl Financial Llc (registered 2025-10-14)
Form ADVobserved 5 days ago
Occurred
Sep 12, 2024
Advisor changed firm
Amy M Hawkins left Ubs Financial Services Inc. for Thrivent Investment Management Inc. (registered 2024-11-13)
Form ADVobserved 5 days ago