DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

PATRICK John PHILLIPS

Advisor at LPL FINANCIAL LLC

FREMONT, CA | SAN LEANDRO, CA

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:ffe2ee0a-83f0-953f-45ef-b1eeabd9c7b3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 14, 2014 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: Jun 8, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jun 8, 2011
First registration: Jul 14, 2014
Dual registered: yes, broker-dealer
Other names: PATRICK JOHN PHILLIPS|PATRICK PHILLIPS
IAPD individual key: 5914452

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 12, 2025	n/a	yes	SAN LEANDRO, CA\|FREMONT, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 12, 2017	Apr 15, 2025	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 14, 2014	Jan 4, 2016	no	WALNUT CREEK, CA\|DALY CITY, CA\|PALO ALTO, CA\|SAN BRUNO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|PALO ALTO, CA\|REDWOOD CITY, CA\|PALO ALTO, CA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Apr 15, 2025	Apr 12, 2025	-3	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 4, 2016	Apr 12, 2017	464	Firm change after gap	Wirehouse to wirehouse

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 12, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 12, 2017 to Apr 15, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 14, 2014 to Jan 4, 2016factForm ADV

Dated events

Occurred
Apr 15, 2025
Advisor changed firm
Patrick John Phillips left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Financial Llc (registered 2025-04-12)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ffe2ee0a-83f0-953f-45ef-b1eeabd9c7b3
First observed: Jul 14, 2014
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.

PATRICK John PHILLIPS

Advisor at LPL FINANCIAL LLC

FREMONT, CA | SAN LEANDRO, CA

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:ffe2ee0a-83f0-953f-45ef-b1eeabd9c7b3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Apr 12, 2025

n/a

yes

SAN LEANDRO, CA|FREMONT, CA

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Apr 12, 2017

Apr 15, 2025

Previous registration

WELLS FARGO ADVISORS

Wirehouse

Jul 14, 2014

Jan 4, 2016

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LPL FINANCIAL LLC

Apr 15, 2025

Apr 12, 2025

-3

Firm change

Wirehouse to ibd

WELLS FARGO ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jan 4, 2016

Apr 12, 2017

464

Firm change after gap

Wirehouse to wirehouse