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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

LINDSAY JO DOCKTER-HOLUB

Advisor at LPL FINANCIAL LLC

FORT MILL, SC | ELK RIVER, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 9, 2008 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 13, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Dec 13, 2005
First registration: Oct 9, 2008
Dual registered: yes, broker-dealer
Other names: LINDSAY JO DOCKTER
IAPD individual key: 4614466

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	Jan 16, 2014	n/a	yes	FORT MILL, SC\|ELK RIVER, MN	Current employment
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Nov 19, 2012	Jan 13, 2014	no	EL SEGUNDO, CA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Nov 19, 2012	Jan 13, 2014	no	EL SEGUNDO, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 19, 2012	Jan 13, 2014	no	DENVER, CO	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Feb 15, 2011	Jan 13, 2014	no	GREENWOOD VILLAGE, CO	Previous registration
B. C. ZIEGLER AND COMPANY	Former SEC adviser	Aug 12, 2010	Feb 11, 2011	no	Denver, CO	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 9, 2008	Jul 30, 2010	no	DENVER, CO	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
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT SERVICES LLC	Jan 13, 2014	Nov 19, 2012	-420	Channel change	Other
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Jan 13, 2014	Oct 19, 2012	-451	Firm change after gap	Other
CETERA INVESTMENT ADVISERS LLC	CETERA INVESTMENT SERVICES LLC	Jan 13, 2014	Nov 19, 2012	-420	Firm change after gap	Other
CETERA INVESTMENT SERVICES LLC	CETERA ADVISOR NETWORKS LLC	Jan 13, 2014	Nov 19, 2012	-420	Firm change after gap	Other
B. C. ZIEGLER AND COMPANY	CETERA ADVISORS LLC	Feb 11, 2011	Feb 15, 2011	4	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	B. C. ZIEGLER AND COMPANY	Jul 30, 2010	Aug 12, 2010	13	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 16, 2014 to presentfactForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Feb 15, 2011 to Jan 13, 2014factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Oct 19, 2012 to Jan 13, 2014factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Nov 19, 2012 to Jan 13, 2014factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Nov 19, 2012 to Jan 13, 2014factForm ADV
→ B. C. ZIEGLER AND COMPANYRegistered adviserregistration: previous registration
Aug 12, 2010 to Feb 11, 2011factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 9, 2008 to Jul 30, 2010factForm ADV

Dated events

No dated event names this entity yet.