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.

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 3, 1998earliest registration or exam on IAPD

Years in industry

28derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Designations

Certified Financial Planner

Exams

S63|S66

First exam

Sep 3, 1998

First registration

Mar 21, 2012

Dual registered

yes, broker-dealer

IAPD individual key

3081393

• Occurred

  Oct 18, 2023
  Advisor changed firm

  Brock Raymond Hively left Rbc Capital Markets, Llc for Lpl Financial Llc (registered 2023-10-03)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:df707b80-6b23-477e-fa37-74a278d50e92

First observed

Mar 21, 2012

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.