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

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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.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Douglas A. Menozi828437510/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Drew Elwell830315510/06/202610/05/2026Simplicity Wealth300572Denver, CO
Easton Ostert834808910/06/202610/05/2026Fisher Investments107342Tampa, FL
Edward H. T. Vu835284310/06/202610/05/2026Brookstone Capital Management LLC141413Spokane, WA
Elizabeth I. Kelchner670261010/06/202610/05/2026Thrivent Investment Management Inc.18387Nescopeck, PA
Elliot J. Wicks834589210/06/202610/05/2026Lido269866Bellevue, WA
Emily A. Burke828930010/06/202610/05/2026Birch Street Financial Advisors305749Falls Church, VA
Eric Z. Henley825366310/06/202610/05/2026Thrivent Investment Management Inc.18387West Olive, MI
Ethan J. Alessi792985410/06/202610/05/2026Osaic Wealth, Inc.23131Huntersville, NC
Evan D. Johnston779876110/06/202610/05/2026Vanguard Advisers, Inc.106715Scottsdale, AZ
Evan Sparks811431010/06/202610/05/2026Cetera Investment Advisers LLC105644Newark, DE
Frank Sardina766703210/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691New York, NY
Garrett Hicks828273010/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Genaro E. Roman683631610/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691North Las Vegas, NV
George P. Sopko797158910/06/202610/05/2026Wells Fargo Clearing Services, LLC19616Washington, DC
Grace Kilgore648713510/06/202610/05/2026PFS Investments Inc.10111Lakeland, FL
Graham E. Garcia826259210/06/202610/05/2026Bankers Life Advisory Services, Inc.281285Buffalo Grove, IL
Graham P. Demo797964910/06/202610/05/2026Stifel, Nicolaus & Company, Incorporated793Dewitt, NY
Grant L. Kunkel585833710/06/202610/05/2026LPL Financial LLC6413Winston Salem, NC
Hanna N. Maschmidt825159010/06/202610/05/2026Raymond James & Associates, Inc.705Fort Myers, FL
Harrison W. Welsh785715610/06/202610/05/2026Morgan Stanley149777New York, NY
Heather Jennings826755610/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Heather M. Doherty507951210/06/202610/05/2026LPL Financial LLC6413Stoneham, MA
Ian W. Artho830323110/06/202610/05/2026TIAA-CREF Individual & Institutional Services, LLC20472Plano, TX
Jackson Ercole835442610/06/202610/05/2026Sagespring Wealth Partners283515Franklin, TN

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