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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

STEVEN SCOTT COMPTON

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:f8376a4e-9956-96d7-b966-d701de2a56f9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2017 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: Sep 10, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 10, 2009
First registration: Jan 10, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 4335169

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	Nov 17, 2017	n/a	yes	MELBOURNE, FL\|ST. PETERSBURG, FL\|ORLANDO, FL\|WINTER PARK, FL\|MELBOURNE, FL\|DAYTONA BEACH, FL\|ST. PETERSBURG, FL\|OVIEDO, FL\|SANFORD, FL\|APOPKA, FL\|EUSTIS, FL\|ORMOND BEACH, FL\|CLERMONT, FL\|Lake Mary, FL\|Longwood, FL\|Maitland, FL\|Orlando, FL\|Orlando, FL\|Port Orange, FL\|WINTER GARDEN, FL	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jan 10, 2017	Nov 16, 2017	no	WINTER PARK, FL\|MELBOURNE, FL\|MELBOURNE, 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
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Nov 16, 2017	Nov 17, 2017	1	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
12984:6413:FL:2017-11-16	Nov 16, 2017	Nov 17, 2017	MELBOURNE, FL	Firm change

Relationships

Registered with (2)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 17, 2017 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jan 10, 2017 to Nov 16, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8376a4e-9956-96d7-b966-d701de2a56f9
First observed: Jan 10, 2017
Last observed: Sep 15, 2026 4 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.

STEVEN SCOTT COMPTON

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:f8376a4e-9956-96d7-b966-d701de2a56f9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Nov 17, 2017

n/a

yes

Current employment

INVEST FINANCIAL CORPORATION

Former SEC adviser

Jan 10, 2017

Nov 16, 2017

WINTER PARK, FL|MELBOURNE, FL|MELBOURNE, FL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

INVEST FINANCIAL CORPORATION

LPL FINANCIAL LLC

Nov 16, 2017

Nov 17, 2017

Firm change

Other

Team

Left

Joined

From

Kind

12984:6413:FL:2017-11-16

Nov 16, 2017

Nov 17, 2017

MELBOURNE, FL

Firm change