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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

ANDREW THOMAS AMES

Advisor at LPL FINANCIAL LLC

ARCADIA, FL

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Search this name across graphsid dfx:ria:d251ad23-1e78-7298-8eb9-a12e1de508b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2003 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: Dec 1, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Nov 23, 1998
First registration: Apr 16, 2003
Dual registered: yes, broker-dealer
Other names: ANDY AMES
IAPD individual key: 3151155

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 19, 2021	n/a	yes	ARCADIA, FL	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Jul 7, 2021	no	ARCADIA, FL\|TAMPA, FL	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Dec 28, 2015	Nov 2, 2018	no	ARCADIA, FL\|TAMPA, FL	Previous registration
SIGNATOR FINANCIAL SERVICES, INC.	Former SEC adviser	May 22, 2006	Dec 28, 2015	no	ARCADIA, FL\|ARCADIA, FL	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 10, 2003	May 30, 2006	no	LAKE SUZY, FL\|ARCADIA, FL\|ARCADIA, FL	Previous registration
CPA FINANCIAL ADVISERS, INC.	n/a	Apr 16, 2003	Nov 14, 2003	no	DAYTONA BEACH, FL	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Jul 7, 2021	Jul 19, 2021	12	Firm change	Ibd to ibd
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
SIGNATOR FINANCIAL SERVICES, INC.	SIGNATOR INVESTORS, INC.	Dec 28, 2015	Dec 28, 2015	0	Bulk transfer	Other
INVEST FINANCIAL CORPORATION	SIGNATOR FINANCIAL SERVICES, INC.	May 30, 2006	May 22, 2006	-8	Firm change	Other
CPA FINANCIAL ADVISERS, INC.	INVEST FINANCIAL CORPORATION	Nov 14, 2003	Nov 10, 2003	-4	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
23131:6413:FL:2021-07-07	Jul 7, 2021	Jul 19, 2021	TAMPA, FL	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 19, 2021 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Jul 7, 2021factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Dec 28, 2015 to Nov 2, 2018factForm ADV
→ SIGNATOR FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 22, 2006 to Dec 28, 2015factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 10, 2003 to May 30, 2006factForm ADV
→ CPA FINANCIAL ADVISERS, INC.Registered adviserregistration: previous registration
Apr 16, 2003 to Nov 14, 2003factForm ADV

Dated events

No dated event names this entity yet.