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

MARK SIMON DIROU

Advisor at LPL FINANCIAL LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:efaffc30-1d7f-c648-090d-94e544c45fb9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 5, 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 1, 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: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: May 12, 2014
First registration: Sep 5, 2014
Dual registered: yes, broker-dealer
Other names: MARK S DIROU|MARK SIMON DIROU|Mark Dirou
IAPD individual key: 6016587

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	May 19, 2026	n/a	yes	HOUSTON, TX	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Feb 25, 2022	Apr 2, 2026	no	SUGAR LAND, TX	Previous registration
AMERANT INVESTMENTS, INC.	Independent wealth	May 8, 2020	Feb 10, 2022	no	CORAL GABLES, FL\|CORAL GABLES, FL\|Houston, TX\|Boca Raton, FL\|Wellington, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 26, 2017	Mar 26, 2020	no	BOCA RATON, FL\|BOYNTON BEACH, FL\|Boca Raton, FL\|Boca Raton, FL\|Delray, FL\|Chicago, IL\|Coral Springs, FL\|Boca Raton, FL\|Miami, FL\|Coral Springs, FL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 5, 2014	May 2, 2017	no	WELLINGTON, FL\|WELLINGTON, FL\|FT. LAUDERDALE, 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
TRUIST ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Apr 2, 2026	May 19, 2026	47	Firm change	Ibd to ibd
AMERANT INVESTMENTS, INC.	TRUIST ADVISORY SERVICES, INC.	Feb 10, 2022	Feb 25, 2022	15	Firm change	RIA to ibd
CITIGROUP GLOBAL MARKETS INC.	AMERANT INVESTMENTS, INC.	Mar 26, 2020	May 8, 2020	43	Firm change	Ibd to RIA
PNC WEALTH MANAGEMENT	CITIGROUP GLOBAL MARKETS INC.	May 2, 2017	Apr 26, 2017	-6	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 25, 2022 to Apr 2, 2026factForm ADV
→ AMERANT INVESTMENTS, INC.Registered adviserregistration: previous registration
May 8, 2020 to Feb 10, 2022factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 26, 2017 to Mar 26, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 5, 2014 to May 2, 2017factForm ADV

Dated events

Occurred
Apr 2, 2026
Advisor changed firm
Mark Simon Dirou left Truist Advisory Services, Inc. for Lpl Financial Llc (registered 2026-05-19)
Form ADVobserved 5 days ago
Occurred
Feb 10, 2022
Advisor changed firm
Mark Simon Dirou left Amerant Investments, Inc. for Truist Advisory Services, Inc. (registered 2022-02-25)
Form ADVobserved 5 days ago