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 51–75 of 198. The CSV contains the complete table.
| Adviser | Individual CRD | Source snapshot date | First registration date | Firm in feed | Firm CRD | Adviser location |
|---|---|---|---|---|---|---|
| Douglas A. Menozi | 8284375 | 10/06/2026 | 10/05/2026 | Thrivent Investment Management Inc. | 18387 | Minneapolis, MN |
| Drew Elwell | 8303155 | 10/06/2026 | 10/05/2026 | Simplicity Wealth | 300572 | Denver, CO |
| Easton Ostert | 8348089 | 10/06/2026 | 10/05/2026 | Fisher Investments | 107342 | Tampa, FL |
| Edward H. T. Vu | 8352843 | 10/06/2026 | 10/05/2026 | Brookstone Capital Management LLC | 141413 | Spokane, WA |
| Elizabeth I. Kelchner | 6702610 | 10/06/2026 | 10/05/2026 | Thrivent Investment Management Inc. | 18387 | Nescopeck, PA |
| Elliot J. Wicks | 8345892 | 10/06/2026 | 10/05/2026 | Lido | 269866 | Bellevue, WA |
| Emily A. Burke | 8289300 | 10/06/2026 | 10/05/2026 | Birch Street Financial Advisors | 305749 | Falls Church, VA |
| Eric Z. Henley | 8253663 | 10/06/2026 | 10/05/2026 | Thrivent Investment Management Inc. | 18387 | West Olive, MI |
| Ethan J. Alessi | 7929854 | 10/06/2026 | 10/05/2026 | Osaic Wealth, Inc. | 23131 | Huntersville, NC |
| Evan D. Johnston | 7798761 | 10/06/2026 | 10/05/2026 | Vanguard Advisers, Inc. | 106715 | Scottsdale, AZ |
| Evan Sparks | 8114310 | 10/06/2026 | 10/05/2026 | Cetera Investment Advisers LLC | 105644 | Newark, DE |
| Frank Sardina | 7667032 | 10/06/2026 | 10/05/2026 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | New York, NY |
| Garrett Hicks | 8282730 | 10/06/2026 | 10/05/2026 | Thrivent Investment Management Inc. | 18387 | Minneapolis, MN |
| Genaro E. Roman | 6836316 | 10/06/2026 | 10/05/2026 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | North Las Vegas, NV |
| George P. Sopko | 7971589 | 10/06/2026 | 10/05/2026 | Wells Fargo Clearing Services, LLC | 19616 | Washington, DC |
| Grace Kilgore | 6487135 | 10/06/2026 | 10/05/2026 | PFS Investments Inc. | 10111 | Lakeland, FL |
| Graham E. Garcia | 8262592 | 10/06/2026 | 10/05/2026 | Bankers Life Advisory Services, Inc. | 281285 | Buffalo Grove, IL |
| Graham P. Demo | 7979649 | 10/06/2026 | 10/05/2026 | Stifel, Nicolaus & Company, Incorporated | 793 | Dewitt, NY |
| Grant L. Kunkel | 5858337 | 10/06/2026 | 10/05/2026 | LPL Financial LLC | 6413 | Winston Salem, NC |
| Hanna N. Maschmidt | 8251590 | 10/06/2026 | 10/05/2026 | Raymond James & Associates, Inc. | 705 | Fort Myers, FL |
| Harrison W. Welsh | 7857156 | 10/06/2026 | 10/05/2026 | Morgan Stanley | 149777 | New York, NY |
| Heather Jennings | 8267556 | 10/06/2026 | 10/05/2026 | Thrivent Investment Management Inc. | 18387 | Minneapolis, MN |
| Heather M. Doherty | 5079512 | 10/06/2026 | 10/05/2026 | LPL Financial LLC | 6413 | Stoneham, MA |
| Ian W. Artho | 8303231 | 10/06/2026 | 10/05/2026 | TIAA-CREF Individual & Institutional Services, LLC | 20472 | Plano, TX |
| Jackson Ercole | 8354426 | 10/06/2026 | 10/05/2026 | Sagespring Wealth Partners | 283515 | Franklin, TN |