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

IAN K FOO

Advisor at LPL FINANCIAL LLC

PALO ALTO, CA

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Search this name across graphsid dfx:ria:e7093066-670c-a1fa-025c-d3f3fd5c9296

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Sep 27, 2010 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: Sep 24, 2010earliest 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: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 24, 2010
First registration: Sep 27, 2010
Dual registered: yes, broker-dealer
Other names: IAN KOK KAAN FOO
IAPD individual key: 5822647

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	Jul 31, 2026	n/a	yes	PALO ALTO, CA	Current employment
MARINER ADVISOR NETWORK	Bd affiliated wealth	Nov 17, 2025	Aug 21, 2026	no	San Jose, CA\|Palo Alto, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 22, 2019	Nov 11, 2025	no	SAN JOSE, CA	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	May 26, 2017	Aug 22, 2019	no	SAN JOSE, CA\|MILPITAS, CA\|SAN JOSE, CA\|MOUNTAIN VIEW, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SUNNYVALE, CA\|SANTA CLARA, CA\|SAN JOSE, CA	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Oct 6, 2016	Mar 10, 2017	no	SAINT LOUIS, MO	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 31, 2011	Dec 31, 2014	no	DALY CITY, CA\|REDWOOD CITY, CA\|Los Altos, CA\|SAN FRANCISCO, CA\|DALY CITY, CA\|NEW YORK, NY\|MOUNTAIN VIEW, CA\|SAN FRANCISCO, CA\|MOUNTAIN VIEW, CA\|San Francisco, CA	Previous registration
MORGAN STANLEY	Wirehouse	Sep 27, 2010	May 20, 2011	no	SAN JOSE, 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
MARINER ADVISOR NETWORK	LPL FINANCIAL LLC	Aug 21, 2026	Jul 31, 2026	-21	Firm change	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	MARINER ADVISOR NETWORK	Nov 11, 2025	Nov 17, 2025	6	Firm change	Ibd to ibd
CETERA ADVISORS LLC	CETERA INVESTMENT ADVISERS LLC	Aug 22, 2019	Mar 22, 2019	-153	Firm change after gap	Ibd to ibd
SCOTTRADE INVESTMENT MANAGEMENT	CETERA ADVISORS LLC	Mar 10, 2017	May 26, 2017	77	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	SCOTTRADE INVESTMENT MANAGEMENT	Dec 31, 2014	Oct 6, 2016	645	Firm change after gap	Other
MORGAN STANLEY	CITIGROUP GLOBAL MARKETS INC.	May 20, 2011	May 31, 2011	11	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
283824:6413:CA:2026-08-21	Aug 21, 2026	Jul 31, 2026	SAN JOSE, CA	Firm change
10299:105644:CA:2019-08-22	Aug 22, 2019	Mar 22, 2019	SAN JOSE, CA	Firm change after gap

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 31, 2026 to presentfactForm ADV
→ MARINER ADVISOR NETWORKRegistered adviserregistration: previous registration
Nov 17, 2025 to Aug 21, 2026factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 22, 2019 to Nov 11, 2025factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
May 26, 2017 to Aug 22, 2019factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Oct 6, 2016 to Mar 10, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 31, 2011 to Dec 31, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 27, 2010 to May 20, 2011factForm ADV

Dated events

Occurred
Aug 21, 2026
Advisor changed firm
Ian K Foo left Mariner Advisor Network for Lpl Financial Llc (registered 2026-07-31)
Form ADVobserved 5 days ago
Occurred
Nov 11, 2025
Advisor changed firm
Ian K Foo left Cetera Investment Advisers Llc for Mariner Advisor Network (registered 2025-11-17)
Form ADVobserved 5 days ago