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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

BRIAN SCOTT WHATLEY

Advisor at LPL FINANCIAL LLC

ARVADA, CO | Arvada, CO

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Search this name across graphsid dfx:ria:f54b5684-d9ca-be80-273d-e4b2cca85407

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 5, 2008 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: Feb 4, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Feb 4, 2008
First registration: Feb 5, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5445401

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	Apr 24, 2026	n/a	yes	Arvada, CO\|ARVADA, CO	Current employment
WELLS FARGO ADVISORS	Wirehouse	Apr 20, 2018	May 5, 2026	no	FORT COLLINS, CO\|DENVER, CO\|DENVER, CO\|DENVER, CO\|WESTMINSTER, CO\|DENVER, CO\|DENVER, CO	Previous registration
FISHER INVESTMENTS	Independent wealth	Aug 5, 2015	Mar 20, 2018	no	PLANO, TX	Previous registration
PERSONAL CAPITAL ADVISORS CORPORATION	Former SEC adviser	Jun 4, 2014	Apr 8, 2015	no	DENVER, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 13, 2013	May 28, 2014	no	LOUISVILLE, CO\|DENVER, CO	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 7, 2010	Feb 6, 2013	no	Golden, CO\|Evergreen, CO\|GRANBY, CO\|VAIL, CO\|GYPSUM, CO\|AVON, CO\|EDWARDS, CO\|VAIL, CO\|DILLON, CO\|BRECKENRIDGE, CO\|FRISCO, CO	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Feb 5, 2008	Dec 13, 2010	no	ARVADA, CO\|GOLDEN, CO\|LAKEWOOD, CO	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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	May 5, 2026	Apr 24, 2026	-11	Firm change	Wirehouse to ibd
FISHER INVESTMENTS	WELLS FARGO ADVISORS	Mar 20, 2018	Apr 20, 2018	31	Firm change	RIA to wirehouse
PERSONAL CAPITAL ADVISORS CORPORATION	FISHER INVESTMENTS	Apr 8, 2015	Aug 5, 2015	119	Firm change	Other
WELLS FARGO ADVISORS	PERSONAL CAPITAL ADVISORS CORPORATION	May 28, 2014	Jun 4, 2014	7	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	WELLS FARGO ADVISORS	Feb 6, 2013	Feb 13, 2013	7	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	U.S. BANCORP INVESTMENTS, INC.	Dec 13, 2010	Dec 7, 2010	-6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6413:CO:2026-04-23	May 5, 2026	Apr 24, 2026	DENVER, CO	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 24, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 20, 2018 to May 5, 2026factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Aug 5, 2015 to Mar 20, 2018factForm ADV
→ PERSONAL CAPITAL ADVISORS CORPORATIONRegistered adviserregistration: previous registration
Jun 4, 2014 to Apr 8, 2015factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 7, 2010 to Feb 6, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Feb 5, 2008 to Dec 13, 2010factForm ADV

Dated events

Occurred
May 5, 2026
Advisor changed firm
Brian Scott Whatley left Wells Fargo Advisors for Lpl Financial Llc (registered 2026-04-24)
Form ADVobserved 5 days ago