NEW ADVISERS

LPL lists 20 of 198 first adviser registrations

The full cohort covers first adviser registrations dated October 5, 2026. Lauren L. Dumont and Alyssandra M. Smith were listed with LPL; their branch locations were reported the following day.

By Claire Bennett··2 min read

LPL Financial LLC was the listed firm for 20 of the 198 first adviser registrations dated October 5, 2026. The first-registration date identifies when these advisers were first registered as advisers; it does not establish a hiring date or career start. The firm shown is the current source-listed affiliation, not necessarily the firm where a person first registered.

Lauren L. Dumont and Alyssandra M. Smith both had first adviser registrations dated October 5, 2026, with LPL Financial LLC shown as their current listed firm. Their reported branch locations were Tampa, Florida, and Seattle, Washington, respectively; those locations were reported on October 6 and do not establish either person’s residence or sole workplace.

Thrivent Investment Management Inc. was the listed firm for 18 of the first registrations. Loren C. DeBoutez and Brent A. Reichow are two examples with first-registration dates of October 5, 2026; their reported branch location was Minneapolis, Minnesota, in information dated October 6.

The listed-firm distribution also included 10 people at Merrill Lynch, Pierce, Fenner & Smith Incorporated and nine at Morgan Stanley. The remaining 141 were listed across all other firms.

Listed firm categoryFirst adviser registrations
LPL Financial LLC20
Thrivent Investment Management Inc.18
Merrill Lynch, Pierce, Fenner & Smith Incorporated10
Morgan Stanley9
All other firms141

Download data (CSV)

First adviser registrations

The advisers below account for all 198 source-reported first adviser registrations on 10/05/2026. Firms and branches reflect affiliations currently reported for each adviser, which may differ from those at first registration. These dates do not establish hires or career starts, and branches do not establish residence or exclusive workplaces.

Showing rows 1–25 of 198. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Abigail C. Morgan827039810/06/202610/05/2026Citigroup Global Markets Inc.7059New York, NY
Adam J. Troendle713998710/06/202610/05/2026Osaic Wealth, Inc.23131Rochester, MN
Alec Mizner619506010/06/202610/05/2026PFS Investments Inc.10111Overland Park, KS
Aline A. Tellstone762937110/06/202610/05/2026LPL Financial LLC6413Belmont, MA
Alycia M. Hovey718290210/06/202610/05/2026Hantz Financial Services, Inc.46047Midland, MI
Alyssandra M. Smith813678910/06/202610/05/2026LPL Financial LLC6413Seattle, WA
Anayeli Salto731619710/06/202610/05/2026Strategic Advisers LLC104555Salt Lake City, UT
Andrea J. Watkins797802710/06/202610/05/2026Osaic Wealth, Inc.23131Yorba Linda, CA
Andrea P. Gilbert816566210/06/202610/05/2026Transamerica Financial Advisors, LLC16164Riverside, CA
Andrew Flanders834817210/06/202610/05/2026Foundations Investment Advisors LLC175083Lehi, UT
Andrew R. Patch732123510/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691West Valley City, UT
Andrew S. Ruch822260110/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Anika M. Nelson833426210/06/202610/05/2026Simplicity Wealth300572Denver, CO
Anna L. Hernandez811779310/06/202610/05/2026Principal Securities, Inc.1137Des Moines, IA
Annie Gebhart810867910/06/202610/05/2026Cetera Investment Advisers LLC105644St. Louis, MO
Anthony J. ODonnell788656010/06/202610/05/2026Charles Schwab & Co., Inc.5393Omaha, NE
Arthur A. Molina749376810/06/202610/05/2026Hightower Advisors, LLC145323Newport Beach, CA
Ashtin Miller813968610/06/202610/05/2026Morgan Stanley149777Seattle, WA
Aubrey D. Snyder834438810/06/202610/05/2026Beacon Capital Management, LLC156228Franklin, TN
Ben J. Johnson830405610/06/202610/05/2026Verdence Capital Advisors, LLC288512Hunt Valley, MD
Benjamin Lichaa279477410/06/202610/05/2026Quent Capital, LLC308203New York, NY
Benson M. Milburn829189210/06/202610/05/2026Principal Advised Services297324Charlotte, NC
Beth L. Weldy818512310/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Brandon Porter657533210/06/202610/05/2026LPL Financial LLC6413Atlanta, GA
Brent A. Reichow829557110/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN

Download data (CSV)