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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MATTHEW ALLEN SERNAU

Advisor at LPL FINANCIAL LLC

BATTLE CREEK, MI | GRAND RAPIDS, MI

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Search this name across graphsid dfx:ria:dfc2ac4a-e60f-e2d5-d089-cafa00815975

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 12, 2010 to Sep 15, 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: Jun 26, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 26, 2003
First registration: Oct 12, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 4651875

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	Dec 8, 2021	n/a	yes	GRAND RAPIDS, MI\|BATTLE CREEK, MI	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Dec 7, 2018	Dec 8, 2021	no	GRAND RAPIDS, MI\|JENISON, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 22, 2012	Dec 10, 2018	no	ADA, MI\|GRAND RAPIDS, MI\|GRAND RAPIDS, MI\|CALEDONIA, MI\|GRAND RAPIDS, MI\|WYOMING, MI\|GRAND RAPIDS, MI\|RAVENNA, MI\|BYRON CENTER, MI\|GRAND HAVEN, MI\|HUDSONVILLE, MI\|JENISON, MI\|KENTWOOD, MI\|GRAND RAPIDS, MI\|GRAND RAPIDS, MI\|WYOMING, MI\|MUSKEGON, MI\|WYOMING, MI\|LAWELL, MI\|GRAND RAPIDS, MI\|GRAND RAPIDS, MI\|SAGINAW, MI\|BYRON CENTER, MI\|TRAVERSE CITY, MI\|ROCKFORD, MI\|GRAND RAPIDS, MI\|GRAND RAPIDS, MI\|LIVONIA, MI\|ALLENDALE, MI\|WHITE LAKE, MI	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 12, 2010	May 15, 2012	no	GRAND RAPIDS, MI\|HUDSONVILLE, MI\|GRAND RAPIDS, MI	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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Dec 8, 2021	Dec 8, 2021	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	SECURITIES AMERICA ADVISORS, INC.	Dec 10, 2018	Dec 7, 2018	-3	Firm change	RIA to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	May 15, 2012	May 22, 2012	7	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 22, 2012 to Dec 10, 2018factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Dec 7, 2018 to Dec 8, 2021factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 12, 2010 to May 15, 2012factForm ADV

Dated events

No dated event names this entity yet.