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·Edition ·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 category | First adviser registrations |
|---|---|
| LPL Financial LLC | 20 |
| Thrivent Investment Management Inc. | 18 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | 10 |
| Morgan Stanley | 9 |
| All other firms | 141 |
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 26–50 of 198. The CSV contains the complete table.
| Adviser | Individual CRD | Source snapshot date | First registration date | Firm in feed | Firm CRD | Adviser location |
|---|---|---|---|---|---|---|
| Brian Radler | 6716471 | 10/06/2026 | 10/05/2026 | LPL Financial LLC | 6413 | Maynard, MA |
| Bryan Marinelli | 7746833 | 10/06/2026 | 10/05/2026 | Morgan Stanley | 149777 | Boston, MA |
| Caden E. Wolf | 8185098 | 10/06/2026 | 10/05/2026 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | Atlanta, GA |
| Caitlyn T. Finfrock | 8354830 | 10/06/2026 | 10/05/2026 | Corient | 319448 | Chicago, IL |
| Carlos R. Sequeira | 8336873 | 10/06/2026 | 10/05/2026 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | Roseland, NJ |
| Charlie O. Schettler | 8292734 | 10/06/2026 | 10/05/2026 | Principal Advised Services | 297324 | Des Moines, IA |
| Christian W. Pierre | 8354285 | 10/06/2026 | 10/05/2026 | Florida Financial Advisors, LLC | 288811 | Houston, TX |
| Christopher P. Smith | 7599604 | 10/06/2026 | 10/05/2026 | Raymond James Financial Services Advisors, Inc. | 149018 | Omaha, NE |
| Clinton T. Wood | 5733324 | 10/06/2026 | 10/05/2026 | Ima Advisory Services, Inc. | 112091 | Brattleboro, VT |
| Cole R. Chewins | 8338192 | 10/06/2026 | 10/05/2026 | J.P. Morgan Securities LLC | 79 | Birmingham, MI |
| Cole W. Brouse | 8260997 | 10/06/2026 | 10/05/2026 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | Chandler, AZ |
| Colson A. Poole | 7934314 | 10/06/2026 | 10/05/2026 | Raymond James & Associates, Inc. | 705 | Chicago, IL |
| Colton D. Wick | 8302756 | 10/06/2026 | 10/05/2026 | TIAA-CREF Individual & Institutional Services, LLC | 20472 | Frisco, TX |
| Cooper W. Hamilton | 8269261 | 10/06/2026 | 10/05/2026 | Raymond James & Associates, Inc. | 705 | Oklahoma City, OK |
| Daniel Minin | 8318275 | 10/06/2026 | 10/05/2026 | J.P. Morgan Securities LLC | 79 | Plano, TX |
| Daniel Yankovich | 8216244 | 10/06/2026 | 10/05/2026 | B. Riley Wealth Advisors, Inc. | 115927 | Bronx, NY |
| David B. S. Scott | 4784483 | 10/06/2026 | 10/05/2026 | Affinity Investment Advisors, LLC | 108278 | Las Vegas, NV |
| David L. Stonehill | 7858393 | 10/06/2026 | 10/05/2026 | Key Investment Services LLC | 136300 | Brooklyn, OH |
| David N. Kozodoy | 2366138 | 10/06/2026 | 10/05/2026 | Newport Capital Group, LLC | 144442 | Red Bank, NJ |
| David Trinh | 8234963 | 10/06/2026 | 10/05/2026 | Transamerica Financial Advisors, LLC | 16164 | Flushing, NY |
| David V. DiFusco | 6454096 | 10/06/2026 | 10/05/2026 | Tublin - Difusco Advisors Inc. | 125801 | Las Vegas, NV |
| Davin P. Sweeney | 7706576 | 10/06/2026 | 10/05/2026 | LPL Financial LLC | 6413 | Dedham, MA |
| Denys Arkhypenko | 8284564 | 10/06/2026 | 10/05/2026 | Vanguard Advisers, Inc. | 106715 | Malvern, PA |
| Derek J. Louderbaugh | 8230310 | 10/06/2026 | 10/05/2026 | Oppenheimer & Co. Inc. | 249 | Leawood, KS |
| Dimitra A. Mina | 8289280 | 10/06/2026 | 10/05/2026 | Aaron Wealth Advisors | 298079 | Newport Beach, CA |