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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

CHAD MICHAEL WINN

Advisor at LPL FINANCIAL LLC

TUCSON, AZ

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Search this name across graphsid dfx:ria:d23192be-33c3-e645-7e63-145c6e110823

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2005 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: Jan 26, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 26, 1994
First registration: Nov 17, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 2426079

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	Jul 25, 2019	n/a	yes	TUCSON, AZ	Current employment
WADDELL & REED	Former SEC adviser	Dec 5, 2014	Jul 30, 2019	no	SCOTTSDALE, AZ\|TUCSON, AZ\|LAS VEGAS, NV\|TUCSON, AZ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 3, 2008	Dec 9, 2014	no	TUCSON, AZ\|ORO VALLEY, AZ	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Nov 17, 2005	Feb 26, 2008	no	TUCSON, AZ\|TUCSON, AZ	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 30, 2019	Jul 25, 2019	-5	Firm change	Ibd to RIA
WELLS FARGO ADVISORS	WADDELL & REED	Dec 9, 2014	Dec 5, 2014	-4	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	WELLS FARGO ADVISORS	Feb 26, 2008	Mar 3, 2008	6	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 25, 2019 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Dec 5, 2014 to Jul 30, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 3, 2008 to Dec 9, 2014factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Nov 17, 2005 to Feb 26, 2008factForm ADV

Dated events

No dated event names this entity yet.