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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

FRANCIS JACOBS

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:eb857a36-32e3-cb8c-4ef7-e194c9b0462c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 7, 2004 to Sep 15, 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: Nov 30, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 30, 1995
First registration: Jun 7, 2004
Dual registered: yes, broker-dealer
Other names: FRANCIS (NONE) JACOBS
IAPD individual key: 2489946

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 19, 2023	n/a	yes	TAHOE CITY, CA\|KINGS BEACH, CA\|TRUCKEE, CA\|SCOTTSDALE, AZ\|S. LAKE TAHOE, CA\|CARSON CITY, NV	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Apr 29, 2016	Jul 19, 2023	no	TRUCKEE, CA\|S. LAKE TAHOE, CA\|KINGS BEACH, CA\|TAHOE CITY, CA\|RENO, NV\|CARSON CITY, NV\|SPARKS, NV\|TRUCKEE, CA\|S. LAKE TAHOE, CA\|TAHOE CITY, CA\|KINGS BEACH, CA\|S. LAKE TAHOE, CA\|SPARKS, NV\|CARSON CITY, NV\|OMAHA, NE	Previous registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Sep 3, 2008	Nov 19, 2009	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 7, 2004	Aug 30, 2004	no	SALT LAKE CITY, UT	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
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Nov 19, 2009	Apr 29, 2016	2,353	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Aug 30, 2004	Sep 3, 2008	1,465	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 19, 2023 to presentfactForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Apr 29, 2016 to Jul 19, 2023factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Sep 3, 2008 to Nov 19, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 7, 2004 to Aug 30, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb857a36-32e3-cb8c-4ef7-e194c9b0462c
First observed: Jun 7, 2004
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FRANCIS JACOBS

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:eb857a36-32e3-cb8c-4ef7-e194c9b0462c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:39 AM UTC and rebuilt at most every 15 minutes.