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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

RORY JACOB DALE HART

Advisor at LPL FINANCIAL LLC

DOVE CANYON, CA

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Search this name across graphsid dfx:ria:dd3391ca-936f-9f50-8b57-4f4ed3b4cc70

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Jan 21, 2010 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 9, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Nov 9, 1999
First registration: Jan 21, 2010
Dual registered: yes, broker-dealer
Other names: RORY JACOB DALE HART
IAPD individual key: 2303503

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	Jul 10, 2025	n/a	yes	DOVE CANYON, CA	Current employment
CADARET GRANT & CO INC	Former SEC adviser	Nov 30, 2023	Jul 10, 2025	no	Syracuse, NY\|Dove Canyon, CA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Apr 14, 2021	Nov 30, 2023	no	Dove Canyon, CA\|SAN CARLOS, CA\|SAN CARLOS, CA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Mar 5, 2020	Apr 21, 2021	no	IRVINE, CA	Previous registration
THE WEALTH CONSULTING GROUP	Independent wealth	Jun 26, 2017	Feb 27, 2020	no	Huntington Beach, CA\|LAS VEGAS, NV	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 30, 2016	Mar 11, 2020	no	IRVINE, CA\|NEWPORT BEACH, CA\|HUNTINGTON BEACH, CA	Previous registration
LEVEL FOUR ADVISORY SERVICES	Bd affiliated wealth	Jun 29, 2016	Jul 5, 2017	no	Irvine, CA\|DALLAS, TX	Previous registration
FINANCIAL MANAGEMENT NETWORK INC	Independent wealth	Nov 25, 2014	Dec 8, 2016	no	MISSION VIEJO, CA	Previous registration
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	Feb 15, 2013	Nov 21, 2014	no	IRVINE, CA	Previous registration
PENCE WEALTH MANAGEMENT, INC.	n/a	Jan 30, 2012	Jul 10, 2013	no	NEWPORT BEACH, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 21, 2010	Mar 6, 2013	no	NEWPORT BEACH, CA\|IRVINE, CA\|TORRANCE, CA\|NEWPORT BEACH, 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
CADARET GRANT & CO INC	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
OSAIC FS, INC.	CADARET GRANT & CO INC	Nov 30, 2023	Nov 30, 2023	0	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	OSAIC FS, INC.	Apr 21, 2021	Apr 14, 2021	-7	Firm change	Ibd to ibd
LPL FINANCIAL LLC	THE WEALTH CONSULTING GROUP	Mar 11, 2020	Jun 26, 2017	-989	Firm change after gap	Other
THE WEALTH CONSULTING GROUP	PRUCO SECURITIES, LLC	Feb 27, 2020	Mar 5, 2020	7	Firm change	RIA to ibd
LEVEL FOUR ADVISORY SERVICES	LPL FINANCIAL LLC	Jul 5, 2017	Jun 30, 2016	-370	Firm change after gap	Other
FINANCIAL MANAGEMENT NETWORK INC	LEVEL FOUR ADVISORY SERVICES	Dec 8, 2016	Jun 29, 2016	-162	Firm change after gap	Other
UNITED CAPITAL FINANCIAL ADVISORS	FINANCIAL MANAGEMENT NETWORK INC	Nov 21, 2014	Nov 25, 2014	4	Firm change	Other
PENCE WEALTH MANAGEMENT, INC.	UNITED CAPITAL FINANCIAL ADVISORS	Jul 10, 2013	Feb 15, 2013	-145	Firm change after gap	Other
LPL FINANCIAL LLC	PENCE WEALTH MANAGEMENT, INC.	Mar 6, 2013	Jan 30, 2012	-401	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
110454:134086:CA:2016-12-08	Dec 8, 2016	Jun 29, 2016	MISSION VIEJO, CA	Firm change after gap

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 30, 2016 to Mar 11, 2020factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Nov 30, 2023 to Jul 10, 2025factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Apr 14, 2021 to Nov 30, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 5, 2020 to Apr 21, 2021factForm ADV
→ THE WEALTH CONSULTING GROUPRegistered adviserregistration: previous registration
Jun 26, 2017 to Feb 27, 2020factForm ADV
→ LEVEL FOUR ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 29, 2016 to Jul 5, 2017factForm ADV
→ FINANCIAL MANAGEMENT NETWORK INCRegistered adviserregistration: previous registration
Nov 25, 2014 to Dec 8, 2016factForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Feb 15, 2013 to Nov 21, 2014factForm ADV
→ PENCE WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 30, 2012 to Jul 10, 2013factForm ADV

Dated events

Occurred
Nov 30, 2023
Advisor changed firm
Rory Jacob Dale Hart left Osaic Fs, Inc. for Cadaret Grant & Co Inc (registered 2023-11-30)
Form ADVobserved 6 days ago