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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

ROBERT J SHANNON

Advisor at LPL FINANCIAL LLC

OAK ISLAND, NC

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Search this name across graphsid dfx:ria:f3d8c7fb-3c70-09ae-73d9-42fb8436c015

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 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: Dec 30, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Dec 30, 2004
First registration: Mar 30, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4887691

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	Sep 9, 2019	n/a	yes	OAK ISLAND, NC	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 18, 2013	Sep 6, 2019	no	BUDD LAKE, NJ\|SPARTA, NJ\|MCAFEE, NJ\|NEWTON, NJ\|SPARTA, NJ\|NEWTON, NJ	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Apr 20, 2010	Nov 12, 2013	no	HOBOKEN, NJ\|NEWARK, NJ\|JERSEY CITY, NJ\|JERSEY CITY, NJ\|RAMSEY, NJ\|RIDGEWOOD, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 30, 2005	Apr 14, 2010	no	FLORHAM PARK, NJ\|FLORHAM PARK, NJ	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
PNC WEALTH MANAGEMENT	LPL FINANCIAL LLC	Sep 6, 2019	Sep 9, 2019	3	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	PNC WEALTH MANAGEMENT	Nov 12, 2013	Nov 18, 2013	6	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HSBC SECURITIES (USA) INC.	Apr 14, 2010	Apr 20, 2010	6	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 9, 2019 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 18, 2013 to Sep 6, 2019factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Apr 20, 2010 to Nov 12, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 30, 2005 to Apr 14, 2010factForm ADV

Dated events

No dated event names this entity yet.