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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

MARK GORDON RIPLEY

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:f0639cfa-70ac-b351-6ba5-3c3b9eee071f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2002 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: Aug 20, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 20, 1997
First registration: Oct 24, 2002
Dual registered: yes, broker-dealer
Other names: MARK G RIPLEY
IAPD individual key: 2798199

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	Aug 3, 2021	n/a	yes	QUEENSBURY, NY\|GLENS FALLS, NY\|PLATTSBURGH, NY\|PORT HENRY, NY\|TICONDEROGA, NY\|CHESTERTOWN, NY\|SCHROON LAKE, NY\|PLATTSBURGH, NY\|QUEENSBURY, NY\|PLATTSBURGH, NY\|GLEN FALLS, NY\|HUDSON FALLS, NY\|SOUTH GLENS FALLS, NY\|LAKE LUZERNE, NY\|SCHUYLERVILLE, NY	Current employment
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Apr 2, 2009	Jul 5, 2011	no	GLENS FALLS, NY\|QUEENSBURY, NY\|SOUTH GLEN FALLS, NY\|SCHUYLERVILLE, NY\|LAKE LUZERNE, NY\|QUEENSBURY, NY\|QUEENSBURY, NY\|GLENS FALLS, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 11, 2007	Mar 26, 2009	no	GLENS FALLS, NY	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Feb 11, 2005	Nov 20, 2006	no	GLENS FALLS, NY\|GLENS FALLS, NY	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Oct 24, 2002	Sep 3, 2003	no	BURLINGTON, VT	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
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Jul 5, 2011	Aug 3, 2021	3,682	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Mar 26, 2009	Apr 2, 2009	7	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	UBS FINANCIAL SERVICES INC.	Nov 20, 2006	May 11, 2007	172	Firm change	Other
KEYBANC CAPITAL MARKETS INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Sep 3, 2003	Feb 11, 2005	527	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 3, 2021 to presentfactForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Apr 2, 2009 to Jul 5, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 11, 2007 to Mar 26, 2009factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Oct 24, 2002 to Sep 3, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0639cfa-70ac-b351-6ba5-3c3b9eee071f
First observed: Oct 24, 2002
Last observed: Sep 15, 2026 5 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.

MARK GORDON RIPLEY

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:f0639cfa-70ac-b351-6ba5-3c3b9eee071f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:33 PM UTC and rebuilt at most every 15 minutes.