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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

Thomas Steven Wegner

Advisor at LPL FINANCIAL LLC

MARIETTA, GA

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Search this name across graphsid dfx:ria:de7839b6-4b22-cba0-6910-67d37de047e5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Jul 12, 2006 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: Jan 21, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jan 21, 1999
First registration: Jul 12, 2006
Dual registered: yes, broker-dealer
Other names: TOM WEGNER
IAPD individual key: 2824248

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	Mar 4, 2024	n/a	yes	MARIETTA, GA	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Feb 3, 2023	Mar 5, 2024	no	Hinesville, GA\|MacDonough, GA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 14, 2015	Feb 6, 2023	no	STOCKBRIDGE, GA\|SAN DIEGO, CA\|MCDONOUGH, GA\|MCDONOUGH, GA\|FAYETTEVILLE, GA\|FOREST PARK, GA\|JONESBORO, GA\|STOCKBRIDGE, GA\|HINESVILLE, GA	Previous registration
CAPE INVESTMENT ADVISORY, INC.	Independent wealth	Apr 23, 2015	Sep 9, 2015	no	MCDONOUGH, GA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 11, 2014	Mar 25, 2015	no	ATLANTA, GA\|ATLANTA, GA\|CHAMBLEE, GA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 21, 2014	Apr 11, 2014	no	CUMMING, GA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Jan 11, 2013	Jan 21, 2014	no	CUMMING, GA\|ST CLOUD, MN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 11, 2010	May 25, 2012	no	MIAMI LAKES, FL\|FT LAUDERDALE, FL	Previous registration
COLONIAL ASSET MANAGEMENT INC	n/a	Apr 23, 2009	Oct 30, 2009	no	DUNWOODY, GA\|MONTGOMERY, AL	Previous registration
FIRST TENNESSEE ADVISORY SERVICES, INC.	Former SEC adviser	Sep 9, 2008	Apr 17, 2009	no	MEMPHIS, TN\|CHATTANOOGA, TN	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Jul 22, 2008	Apr 17, 2009	no	CHATTANOOGA, TN	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jul 12, 2006	Dec 4, 2006	no	WOODSTOCK, GA	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	LPL FINANCIAL LLC	Mar 5, 2024	Mar 4, 2024	-1	Firm change	Ibd to ibd
LPL FINANCIAL LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Feb 6, 2023	Feb 3, 2023	-3	Firm change	RIA to ibd
CAPE INVESTMENT ADVISORY, INC.	LPL FINANCIAL LLC	Sep 9, 2015	Aug 14, 2015	-26	Firm change	Other
WELLS FARGO ADVISORS	CAPE INVESTMENT ADVISORY, INC.	Mar 25, 2015	Apr 23, 2015	29	Firm change	Other
CETERA INVESTMENT ADVISERS LLC	WELLS FARGO ADVISORS	Apr 11, 2014	Apr 11, 2014	0	Firm change	Other
CETERA INVESTMENT SERVICES LLC	CETERA INVESTMENT ADVISERS LLC	Jan 21, 2014	Jan 21, 2014	0	Bulk transfer	Other
LPL FINANCIAL LLC	CETERA INVESTMENT SERVICES LLC	May 25, 2012	Jan 11, 2013	231	Firm change	Other
COLONIAL ASSET MANAGEMENT INC	LPL FINANCIAL LLC	Oct 30, 2009	Jun 11, 2010	224	Firm change	Other
FIRST HORIZON ADVISORS, INC	FIRST TENNESSEE ADVISORY SERVICES, INC.	Apr 17, 2009	Sep 9, 2008	-220	Firm change after gap	Other
FIRST TENNESSEE ADVISORY SERVICES, INC.	COLONIAL ASSET MANAGEMENT INC	Apr 17, 2009	Apr 23, 2009	6	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	FIRST HORIZON ADVISORS, INC	Dec 4, 2006	Jul 22, 2008	596	Firm change after gap	Other

Relationships

Registered with (10)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 14, 2015 to Feb 6, 2023factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Feb 3, 2023 to Mar 5, 2024factForm ADV
→ CAPE INVESTMENT ADVISORY, INC.Registered adviserregistration: previous registration
Apr 23, 2015 to Sep 9, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 11, 2014 to Mar 25, 2015factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 21, 2014 to Apr 11, 2014factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Jan 11, 2013 to Jan 21, 2014factForm ADV
→ COLONIAL ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Apr 23, 2009 to Oct 30, 2009factForm ADV
→ FIRST TENNESSEE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Sep 9, 2008 to Apr 17, 2009factForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
Jul 22, 2008 to Apr 17, 2009factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 12, 2006 to Dec 4, 2006factForm ADV

Dated events

Occurred
Mar 5, 2024
Advisor changed firm
Thomas Steven Wegner left Raymond James Financial Services Advisors, Inc for Lpl Financial Llc (registered 2024-03-04)
Form ADVobserved 6 days ago
Occurred
Feb 6, 2023
Advisor changed firm
Thomas Steven Wegner left Lpl Financial Llc for Raymond James Financial Services Advisors, Inc (registered 2023-02-03)
Form ADVobserved 6 days ago