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

JOSHUA ADAM SUESS

Advisor at LPL FINANCIAL LLC

SONORA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2001 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: Nov 14, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 14, 2000
First registration: Mar 27, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 4286544

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	Feb 14, 2008	n/a	yes	SONORA, CA	Current employment
FINANCIAL TELESIS, INC.	Former SEC adviser	Apr 13, 2006	Feb 20, 2008	no	WALNUT CREEK, CA\|SAN RAFAEL, CA\|SAN FRANCISCO, CA	Previous registration
HEFFERNAN INVESTMENT ADVISORS, INC.	Former SEC adviser	Mar 23, 2006	Apr 14, 2008	no	SAN RAFAEL, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Mar 27, 2001	Mar 8, 2006	no	WALNUT CREEK, CA	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
HEFFERNAN INVESTMENT ADVISORS, INC.	FINANCIAL TELESIS, INC.	Apr 14, 2008	Apr 13, 2006	-732	Firm change after gap	Other
FINANCIAL TELESIS, INC.	LPL FINANCIAL LLC	Feb 20, 2008	Feb 14, 2008	-6	Firm change	Other
OSAIC FA, INC.	HEFFERNAN INVESTMENT ADVISORS, INC.	Mar 8, 2006	Mar 23, 2006	15	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 14, 2008 to presentfactForm ADV
→ HEFFERNAN INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Mar 23, 2006 to Apr 14, 2008factForm ADV
→ FINANCIAL TELESIS, INC.Registered adviserregistration: previous registration
Apr 13, 2006 to Feb 20, 2008factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Mar 27, 2001 to Mar 8, 2006factForm ADV

Dated events

No dated event names this entity yet.