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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Brian Harry Schwartz

Advisor at LPL FINANCIAL LLC

WOODLAND HILLS, CA

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Search this name across graphsid dfx:ria:e3d4b7f7-1692-8005-ab8d-3dac8afe3480

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2002 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: Aug 31, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Aug 31, 2001
First registration: Jan 16, 2002
Dual registered: yes, broker-dealer
Other names: Brian H. Schwartz|Brian Schwartz
IAPD individual key: 4414183

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	Jun 5, 2025	n/a	yes	WOODLAND HILLS, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Aug 21, 2017	Jun 5, 2025	no	Woodland Hills, CA\|Pasadena, CA\|Campbell, CA	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Jan 10, 2013	Aug 21, 2017	no	WOODLAND HILLS, CA\|Tarzana, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Nov 19, 2012	no	WOODLAND HILLS, CA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 8, 2009	Oct 5, 2009	no	WOODLAND HILLS, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 3, 2007	May 28, 2009	no	GLENDALE, CA\|Woodland Hills, CA\|LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 13, 2002	Oct 4, 2007	no	ENCINO, CA\|ENCINO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 16, 2002	Sep 13, 2002	no	SHERMAN OAKS, CA	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
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
FINANCIAL WEST GROUP	WESTERN INTERNATIONAL SECURITIES	Aug 21, 2017	Aug 21, 2017	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	FINANCIAL WEST GROUP	Nov 19, 2012	Jan 10, 2013	52	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	AMERIPRISE ADVISOR SERVICES, INC.	May 28, 2009	Jun 8, 2009	11	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Oct 4, 2007	Oct 3, 2007	-1	Firm change	Other
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 13, 2002	Sep 13, 2002	0	Firm change	Other

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Aug 21, 2017 to Jun 5, 2025factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Jan 10, 2013 to Aug 21, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Nov 19, 2012factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 8, 2009 to Oct 5, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 3, 2007 to May 28, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 13, 2002 to Oct 4, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 16, 2002 to Sep 13, 2002factForm ADV

Dated events

No dated event names this entity yet.