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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

STEPHANIE J O'HARA

Advisor at LPL FINANCIAL LLC

Chicago, IL | SAN DIEGO, CA | CHICAGO, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 22, 2000 to Sep 15, 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: Oct 20, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 20, 2000
First registration: Nov 22, 2000
Dual registered: yes, broker-dealer
Other names: STEPHANIE JANE SMITH|STEPHANIE JANE NAEEMULLAH|STEPHANIE J O'HARA|STEPHANIE J OHARA
IAPD individual key: 4251796

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 20, 2023	n/a	yes	CHICAGO, IL\|Chicago, IL\|SAN DIEGO, CA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Nov 1, 2023	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 17, 2015	Mar 25, 2017	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 2, 2010	Jul 24, 2015	no	CHICAGO, IL\|NEW YORK, NY\|CHICAGO, IL\|Chicago, IL\|CHICAGO, IL\|Elk Grove Village, IL\|SCHAUMBURG, IL\|ARLINGTON HEIGHTS., IL\|ARLINGTON HEIGHTS, IL\|CHICAGO, IL\|CHICAGO, IL\|TAMPA, FL\|San Antonio, TX\|SAN ANTONIO, TX\|CHICAGO, IL\|Long Island City, NY\|CHICAGO, IL	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Dec 21, 2009	Jun 22, 2010	no	APPLETON, WI\|FINCASTLE, VA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 14, 2006	Sep 28, 2009	no	WAYNESVILLE, NC\|OAK BROOK, IL\|OAK BROOK, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 22, 2000	Oct 12, 2004	no	SCHAUMBURG, IL	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
MML INVESTORS SERVICES, LLC	LPL FINANCIAL LLC	Nov 1, 2023	Oct 20, 2023	-12	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MSI FINANCIAL SERVICES, INC.	Jul 24, 2015	Jul 17, 2015	-7	Firm change	Other
INVEST FINANCIAL CORPORATION	CITIGROUP GLOBAL MARKETS INC.	Jun 22, 2010	Jul 2, 2010	10	Firm change	Other
MSI FINANCIAL SERVICES, INC.	INVEST FINANCIAL CORPORATION	Sep 28, 2009	Dec 21, 2009	84	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MSI FINANCIAL SERVICES, INC.	Oct 12, 2004	Mar 14, 2006	518	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
10409:6413:IL:2023-11-01	Nov 1, 2023	Oct 20, 2023	CHICAGO, IL	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 20, 2023 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Nov 1, 2023factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 17, 2015 to Mar 25, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 2, 2010 to Jul 24, 2015factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Dec 21, 2009 to Jun 22, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 22, 2000 to Oct 12, 2004factForm ADV

Dated events

Occurred
Nov 1, 2023
Advisor changed firm
Stephanie J O'Hara left Mml Investors Services, Llc for Lpl Financial Llc (registered 2023-10-20)
Form ADVobserved 4 days ago