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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

GARY DAVID SUDOL

Advisor at LPL FINANCIAL LLC

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:d57fc86a-9393-01ec-d812-b9b2e7b8a150

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 31, 2007 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: Sep 30, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 30, 2007
First registration: Oct 31, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 1392822

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	Aug 15, 2019	n/a	yes	LAS VEGAS, NV	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 10, 2016	Aug 20, 2019	no	Las Vegas, NV	Previous registration
THE SUDOL GROUP - WEALTH MANAGEMENT SPECIALISTS	n/a	Jan 24, 2012	Nov 4, 2014	no	LAS VEGAS, NV	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Feb 13, 2009	Nov 18, 2016	no	LAS VEGAS, NV	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2007	Feb 20, 2009	no	LAS VEGAS, NV	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Aug 20, 2019	Aug 15, 2019	-5	Firm change	Ibd to ibd
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	THE SUDOL GROUP - WEALTH MANAGEMENT SPECIALISTS	Nov 18, 2016	Jan 24, 2012	-1,760	Firm change after gap	Other
THE SUDOL GROUP - WEALTH MANAGEMENT SPECIALISTS	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 4, 2014	Nov 10, 2016	737	Firm change after gap	Other
SAGEPOINT FINANCIAL, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Feb 20, 2009	Feb 13, 2009	-7	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 15, 2019 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 10, 2016 to Aug 20, 2019factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Feb 13, 2009 to Nov 18, 2016factForm ADV
→ THE SUDOL GROUP - WEALTH MANAGEMENT SPECIALISTSRegistered adviserregistration: previous registration
Jan 24, 2012 to Nov 4, 2014factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2007 to Feb 20, 2009factForm ADV

Dated events

No dated event names this entity yet.