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

Jan 31, 2003earliest registration or exam on IAPD

Years in industry

23derivedfrom the industry start date

Years at current firm

15derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S66

First exam

Jan 31, 2003

First registration

Oct 12, 2005

Dual registered

yes, broker-dealer

Other names

CHRIS UGLUM

IAPD individual key

4615675

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e02a870e-722f-14bc-9fcd-d4ffeaf670af

First observed

Oct 12, 2005

Last observed

Sep 14, 2026 7 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.