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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

BROCK ROMERO SCIGLIANO

Advisor at LPL FINANCIAL LLC

SAN RAFAEL, CA | MILL VALLEY, CA

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Search this name across graphsid dfx:ria:e191ae09-9be7-f88c-f161-8cfafd4e5632

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 4, 2013 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: Jun 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 18, 2011
First registration: Nov 4, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 5880585

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	Jan 26, 2026	n/a	yes	MILL VALLEY, CA\|SAN RAFAEL, CA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Aug 27, 2025	Feb 3, 2026	no	SAN JOSE, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Mar 8, 2022	May 28, 2024	no	BURLINGAME, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 4, 2013	Apr 20, 2021	no	FORT WORTH, TX\|Southlake, TX\|JERSEY CITY, NJ\|Southlake, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Nov 4, 2013	Apr 20, 2021	no	FORT WORTH, TX\|Westlake, TX\|Westlake, TX\|SAN DIEGO, CA\|JERSEY CITY, NJ\|Westlake, TX	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
LPL ENTERPRISE, LLC	LPL FINANCIAL LLC	Feb 3, 2026	Jan 26, 2026	-8	Channel change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	LPL ENTERPRISE, LLC	May 28, 2024	Aug 27, 2025	456	Firm change after gap	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Apr 20, 2021	Mar 8, 2022	322	Firm change	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Apr 20, 2021	Nov 4, 2013	-2,724	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:111514:TX:2021-04-20	Apr 20, 2021	Nov 4, 2013	WESTLAKE, TX	Firm change after gap

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 26, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Aug 27, 2025 to Feb 3, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Mar 8, 2022 to May 28, 2024factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 4, 2013 to Apr 20, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Nov 4, 2013 to Apr 20, 2021factForm ADV

Dated events

Occurred
May 28, 2024
Advisor changed firm
Brock Romero Scigliano left Fidelity Personal And Workplace Advisors for Lpl Enterprise, Llc (registered 2025-08-27)
Form ADVobserved 6 days ago