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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Ronald John Gubelman

Advisor at LPL FINANCIAL LLC

BURIEN, WA | SEATTLE, WA | TUKWILA, WA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Oct 8, 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: Sep 13, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 13, 2002
First registration: Oct 8, 2002
Dual registered: yes, broker-dealer
Other names: RONALD JOHN GUBELMAN|RON GUBELMAN
IAPD individual key: 4555501

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	Mar 29, 2022	n/a	yes	TUKWILA, WA\|BURIEN, WA\|BURIEN, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA	Current employment
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Nov 5, 2015	Mar 31, 2022	no	Tacoma, WA\|Seattle, WA\|Seattle, WA\|BROOKLYN, OH	Previous registration
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Former SEC adviser	Sep 8, 2015	Oct 30, 2015	no	Mercer Island, WA\|PORTLAND, OR	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 18, 2011	Sep 9, 2015	no	ISSAQUAH, WA\|REDMOND, WA\|NORTH BEND, WA\|FEDERAL WAY, WA\|BURIEN, WA\|BELLEVUE, WA\|BELLUVUE, WA\|MERCER ISLAND, WA\|SEATTLE, WA\|MERCER ISLAND, WA\|BELLEVUE, WA\|SEATTLE, WA\|SEATTLE, WA\|REDMOND, WA\|LYNDEN, WA\|LYNNWOOD, WA\|SHORELINE, WA\|KIRKLAND, WA\|BLAINE, WA\|EVERETT, WA\|POINT ROBERTS, WA\|SEATTLE, WA\|STANWOOD, WA\|SEATTLE, WA\|LYNNWOOD, WA\|SEATTLE, WA\|BELLEVUE, WA\|AUBURN, WA\|ISSAQUAH, WA\|BAINBRIDGE ISLAND, WA\|BELLEVUE, WA\|SEATTLE, WA\|FEDERAL WAY, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 19, 2010	Oct 20, 2011	no	MERCER ISLAND, WA\|REDMOND, WA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Nov 4, 2009	no	SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Aug 23, 2004	May 2, 2009	no	KENT, WA\|KENT, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 8, 2002	Aug 6, 2004	no	SEATTLE, WA	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
KEY INVESTMENT SERVICES LLC	LPL FINANCIAL LLC	Mar 31, 2022	Mar 29, 2022	-2	Firm change	Ibd to RIA
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	KEY INVESTMENT SERVICES LLC	Oct 30, 2015	Nov 5, 2015	6	Firm change	Other
LPL FINANCIAL LLC	STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Sep 9, 2015	Sep 8, 2015	-1	Firm change	Other
HSBC SECURITIES (USA) INC.	LPL FINANCIAL LLC	Oct 20, 2011	Oct 18, 2011	-2	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	HSBC SECURITIES (USA) INC.	Nov 4, 2009	Jul 19, 2010	257	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	WAMU INVESTMENTS, INC.	Aug 6, 2004	Aug 23, 2004	17	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
136300:6413:OH:2022-03-31	Mar 31, 2022	Mar 29, 2022	BROOKLYN, OH	Firm change
6413:1254:WA:2015-09-09	Sep 9, 2015	Sep 8, 2015	SEATTLE, WA	Firm change

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 18, 2011 to Sep 9, 2015factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Nov 5, 2015 to Mar 31, 2022factForm ADV
→ STEWARD PARTNERS INVESTMENT SOLUTIONS, LLCRegistered adviserregistration: previous registration
Sep 8, 2015 to Oct 30, 2015factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 19, 2010 to Oct 20, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Nov 4, 2009factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Aug 23, 2004 to May 2, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 8, 2002 to Aug 6, 2004factForm ADV

Dated events

Occurred
Mar 31, 2022
Advisor changed firm
Ronald John Gubelman left Key Investment Services Llc for Lpl Financial Llc (registered 2022-03-29)
Form ADVobserved 4 days ago