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.

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

Jan 1, 2013earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Apr 27, 2018

First registration

Nov 21, 2019

Dual registered

yes, broker-dealer

IAPD individual key

5739423

• Occurred

  Apr 3, 2025
  Advisor changed firm

  Stephen James Kennedy left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2025-03-12)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f4e3e103-1396-1587-49e4-3f6e8e469f56

First observed

Nov 21, 2019

Last observed

Sep 15, 2026 6 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.