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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

JOSHUA REED STEIN

Advisor at LPL FINANCIAL LLC

CANONSBURG, PA

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Search this name across graphsid dfx:ria:ea94d391-b110-837f-fb97-cda7ece120c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Apr 6, 2005 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: Feb 7, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 7, 2005
First registration: Apr 6, 2005
Dual registered: yes, broker-dealer
Other names: JOSH STEIN
IAPD individual key: 4896899

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	Dec 6, 2022	n/a	yes	CANONSBURG, PA	Current employment
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 1, 2021	Dec 5, 2022	no	Canonsburg, PA\|NEW ORLEANS, LA	Previous registration
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Feb 4, 2013	Nov 1, 2021	no	MCMURRAY, PA\|MCMURRAY, PA\|PITTSBURGH, PA\|CANONSBURG, PA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Oct 12, 2011	Feb 7, 2013	no	PITTSBURGH, PA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jan 25, 2011	Sep 9, 2011	no	Canonsburg, PA	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Mar 10, 2009	Aug 4, 2009	no	UNIONTOWN, PA\|UNIONTOWN, PA\|CARMICHAELS, PA\|UNIONTOWN, PA\|MASONTOWN, PA\|HOPWOOD, PA	Previous registration
H FINANCIAL MANAGEMENT	Independent wealth	Feb 27, 2009	Mar 11, 2009	no	CANONSBURG, PA	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jul 3, 2008	Dec 19, 2008	no	CANONSBURG, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 6, 2005	Jul 8, 2008	no	SEWICKLEY, PA\|DUBLIN, OH\|PITTSBURGH, PA\|SEWICKLEY, PA\|PITTSBURGH, PA	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
NEWEDGE ADVISORS	LPL FINANCIAL LLC	Dec 5, 2022	Dec 6, 2022	1	Firm change	Ibd to RIA
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	NEWEDGE ADVISORS	Nov 1, 2021	Nov 1, 2021	0	Bulk transfer	Ibd to ibd
NEW ENGLAND SECURITIES CORPORATION	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Feb 7, 2013	Feb 4, 2013	-3	Firm change	Other
PRUCO SECURITIES, LLC	NEW ENGLAND SECURITIES CORPORATION	Sep 9, 2011	Oct 12, 2011	33	Firm change	Other
NATCITY INVESTMENTS, INC.	PRUCO SECURITIES, LLC	Aug 4, 2009	Jan 25, 2011	539	Firm change after gap	Other
H FINANCIAL MANAGEMENT	NATCITY INVESTMENTS, INC.	Mar 11, 2009	Mar 10, 2009	-1	Firm change	Other
CETERA ADVISORS LLC	H FINANCIAL MANAGEMENT	Dec 19, 2008	Feb 27, 2009	70	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CETERA ADVISORS LLC	Jul 8, 2008	Jul 3, 2008	-5	Firm change	Other

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 6, 2022 to presentfactForm ADV
→ NEWEDGE ADVISORSRegistered adviserregistration: previous registration
Nov 1, 2021 to Dec 5, 2022factForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 4, 2013 to Nov 1, 2021factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Oct 12, 2011 to Feb 7, 2013factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 25, 2011 to Sep 9, 2011factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Mar 10, 2009 to Aug 4, 2009factForm ADV
→ H FINANCIAL MANAGEMENTRegistered adviserregistration: previous registration
Feb 27, 2009 to Mar 11, 2009factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jul 3, 2008 to Dec 19, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 6, 2005 to Jul 8, 2008factForm ADV

Dated events

Occurred
Dec 5, 2022
Advisor changed firm
Joshua Reed Stein left Newedge Advisors for Lpl Financial Llc (registered 2022-12-06)
Form ADVobserved 5 days ago