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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

FRANK CARL STORY

Advisor at LPL FINANCIAL LLC

New York, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:dc7dfeec-b178-e0fd-437d-c0ab036417a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 26, 2004 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: Apr 22, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 22, 1988
First registration: Apr 26, 2004
Dual registered: yes, broker-dealer
Other names: FRANK C STORY
IAPD individual key: 1803167

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 5, 2024	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Jul 5, 2019	Sep 1, 2024	no	LOS ANGELES, CA\|NEW YORK, NY	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Jul 31, 2007	Jul 10, 2019	no	NEW YORK, NY\|HACKENSACK, NJ\|NEW YORK, NY	Previous registration
RYAN BECK & CO.	n/a	Apr 26, 2004	Jul 31, 2007	no	FORT LEE, NJ	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
WEDBUSH SECURITIES INC.	LPL FINANCIAL LLC	Sep 1, 2024	Aug 5, 2024	-27	Firm change	Ibd to ibd
STIFEL, NICOLAUS & COMPANY, INCORPORATED	WEDBUSH SECURITIES INC.	Jul 10, 2019	Jul 5, 2019	-5	Firm change	Ibd to ibd
RYAN BECK & CO.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jul 31, 2007	Jul 31, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 5, 2024 to presentfactForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Jul 5, 2019 to Sep 1, 2024factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Jul 31, 2007 to Jul 10, 2019factForm ADV
→ RYAN BECK & CO.Registered adviserregistration: previous registration
Apr 26, 2004 to Jul 31, 2007factForm ADV

Dated events

Occurred
Sep 1, 2024
Advisor changed firm
Frank Carl Story left Wedbush Securities Inc. for Lpl Financial Llc (registered 2024-08-05)
Form ADVobserved 4 days ago