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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

ALISON GROSS GAFFNEY

Advisor at LPL FINANCIAL LLC

GLASTONBURY, CT

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Search this name across graphsid dfx:ria:ffd5dbd2-1198-bf31-c7b9-cf3cd85ef631

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jan 13, 2004 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: Mar 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 13, 2003
First registration: Jan 13, 2004
Dual registered: yes, broker-dealer
Other names: ALISON KIMBERLY GROSS|ALISON KIMBERLY GROSS|ALISON KIMBERLY GROSS-MARCEAU|ALISON GROSS MARCEAU|ALISON KIMBERLY GROSS|ALISON KIMBERLY GAFFNEY
IAPD individual key: 4649361

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	Jun 12, 2024	n/a	yes	GLASTONBURY, CT	Current employment
SUMMIT PLANNING GROUP, LLC	State registered	Sep 7, 2011	Dec 31, 2024	no	BRANFORD, CT\|Glastonbury, CT\|Glastonbury, CT	Previous registration
SUMMIT ASSET MANAGEMENT, LLC	n/a	Jun 4, 2009	Aug 24, 2024	no	Glastonbury, CT\|BRANFORD, CT\|Glastonbury, CT	Previous registration
SUMMIT WEALTH MANAGEMENT, LLC	n/a	May 3, 2006	Sep 6, 2011	no	EAST HARTFORD, CT	Previous registration
OSAIC FS, INC.	Former SEC adviser	Jan 13, 2004	Jun 13, 2024	no	GLASTONBURY, CT\|EAST HARTFORD, CT	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
SUMMIT PLANNING GROUP, LLC	LPL FINANCIAL LLC	Dec 31, 2024	Jun 12, 2024	-202	Firm change after gap	Other
SUMMIT ASSET MANAGEMENT, LLC	SUMMIT PLANNING GROUP, LLC	Aug 24, 2024	Sep 7, 2011	-4,735	Firm change after gap	Other
OSAIC FS, INC.	SUMMIT WEALTH MANAGEMENT, LLC	Jun 13, 2024	May 3, 2006	-6,616	Firm change after gap	Other
SUMMIT WEALTH MANAGEMENT, LLC	SUMMIT ASSET MANAGEMENT, LLC	Sep 6, 2011	Jun 4, 2009	-824	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 12, 2024 to presentfactForm ADV
→ SUMMIT PLANNING GROUP, LLCRegistered adviserregistration: previous registration
Sep 7, 2011 to Dec 31, 2024factForm ADV
→ SUMMIT ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 4, 2009 to Aug 24, 2024factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Jan 13, 2004 to Jun 13, 2024factForm ADV
→ SUMMIT WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 3, 2006 to Sep 6, 2011factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
Alison Gross Gaffney left Summit Planning Group, Llc for Lpl Financial Llc (registered 2024-06-12)
Form ADVobserved 5 days ago
Occurred
Aug 24, 2024
Advisor changed firm
Alison Gross Gaffney left Summit Asset Management, Llc for Summit Planning Group, Llc (registered 2011-09-07)
Form ADVobserved 5 days ago
Occurred
Jun 13, 2024
Advisor changed firm
Alison Gross Gaffney left Osaic Fs, Inc. for Summit Wealth Management, Llc (registered 2006-05-03)
Form ADVobserved 5 days ago