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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

Dorian Scott Holmes

Advisor at LPL FINANCIAL LLC

JOLIET, IL

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Search this name across graphsid dfx:ria:e45d9bdc-3476-8461-f6c2-d5183ea9feca

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: May 29, 2014 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: Apr 12, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Apr 12, 2014
First registration: May 29, 2014
Dual registered: yes, broker-dealer
Other names: Dorian S Holmes|Dorian Scott Holmes|Dorian Holmes
IAPD individual key: 5923368

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	Nov 18, 2025	n/a	yes	JOLIET, IL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 3, 2024	Nov 18, 2025	no	DOWNERS GROVE, IL\|Plainfield, IL	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Nov 29, 2021	May 9, 2024	no	NAPERVILLE, IL\|Willowbrook, IL	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jun 10, 2021	Oct 19, 2021	no	WESTLAKE, TX	Previous registration
MORGAN STANLEY	Wirehouse	Aug 13, 2019	Mar 31, 2021	no	Fort Lauderdale, FL\|Orland Park, IL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 17, 2017	Feb 27, 2018	no	FALLS CHURCH, VA	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Feb 3, 2017	Jun 27, 2017	no	SAINT LOUIS, MO	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jun 3, 2015	Feb 1, 2016	no	CLEVELAND, OH	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 9, 2015	Jun 4, 2015	no	BOCA RATON, FL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 29, 2014	Jan 9, 2015	no	BOCA RATON, FL	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Nov 18, 2025	Nov 18, 2025	0	Firm change	Ibd to ibd
HUNTINGTON FINANCIAL ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	May 9, 2024	May 3, 2024	-6	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	HUNTINGTON FINANCIAL ADVISORS	Oct 19, 2021	Nov 29, 2021	41	Firm change	Ibd to ibd
MORGAN STANLEY	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 31, 2021	Jun 10, 2021	71	Firm change	Wirehouse to ibd
EQUITABLE ADVISORS, LLC	MORGAN STANLEY	Feb 27, 2018	Aug 13, 2019	532	Firm change after gap	Ibd to wirehouse
SCOTTRADE INVESTMENT MANAGEMENT	EQUITABLE ADVISORS, LLC	Jun 27, 2017	Jul 17, 2017	20	Firm change	Other
PNC WEALTH MANAGEMENT	SCOTTRADE INVESTMENT MANAGEMENT	Feb 1, 2016	Feb 3, 2017	368	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	PNC WEALTH MANAGEMENT	Jun 4, 2015	Jun 3, 2015	-1	Firm change	Other
EQUITABLE ADVISORS, LLC	VALIC FINANCIAL ADVISORS, INC.	Jan 9, 2015	Jan 9, 2015	0	Firm change	Other

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 18, 2025 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 3, 2024 to Nov 18, 2025factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Nov 29, 2021 to May 9, 2024factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jun 10, 2021 to Oct 19, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 13, 2019 to Mar 31, 2021factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 17, 2017 to Feb 27, 2018factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Feb 3, 2017 to Jun 27, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jun 3, 2015 to Feb 1, 2016factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 9, 2015 to Jun 4, 2015factForm ADV

Dated events

Occurred
Nov 18, 2025
Advisor changed firm
Dorian Scott Holmes left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2025-11-18)
Form ADVobserved 5 days ago
Occurred
May 9, 2024
Advisor changed firm
Dorian Scott Holmes left Huntington Financial Advisors for Ameriprise Financial Services, Llc (registered 2024-05-03)
Form ADVobserved 5 days ago