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 76–100 of 198. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Jacob Turner782773510/06/202610/05/2026Ritholtz Wealth Management168652New York, NY
Jade Islas825703810/06/202610/05/2026Thrivent Investment Management Inc.18387Savannah, GA
James K. Brooker592758210/06/202610/05/2026LPL Financial LLC6413Atlanta, GA
James Raspanti132929410/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Jason A. Troendle785568910/06/202610/05/2026Osaic Wealth, Inc.23131Rochester, MN
Jennifer L. Smith834208510/06/202610/05/2026Pink Streets Financial Planning, LLC344485St. Petersburg, FL
Jensen E. Kruse810660810/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Fort Lauderdale, FL
Jessica Vargas791044110/06/202610/05/2026Dishmi Capital, LLC336392Pasadena, CA
Jiayi Li835405210/06/202610/05/2026Florida Financial Advisors, LLC288811Greenwood Village, CO
Jie J. Hayes594018510/06/202610/05/2026Songbird Capital, LLC158074Princeton, NJ
Jillian F. Sirianni834208310/06/202610/05/2026Pink Streets Financial Planning, LLC344485St. Petersburg, FL
John G. Herbert823168010/06/202610/05/2026Raymond James Financial Services Advisors, Inc.149018Clearwater, FL
John Skehan832581710/06/202610/05/2026MML Investors Services, LLC10409Bedford, NH
Jonah P. Barkenhagen833988010/06/202610/05/2026GWN Securities Inc.128929Corona, CA
Joseph A. Beck791192810/06/202610/05/2026Charles Schwab & Co., Inc.5393Lone Tree, CO
Joseph B. Huffman820708410/06/202610/05/2026Thrivent Investment Management Inc.18387Plainfield, IN
Joseph M. Lucien831955110/06/202610/05/2026Strategic Advisers LLC104555Danvers, MA
Joseph S. Rindone809687410/06/202610/05/2026Lincoln Investment519Fort Washington, PA
Joshua A. Morrison763923110/06/202610/05/2026Morgan Stanley149777Atlanta, GA
Joshua Carlson687488210/06/202610/05/2026Merit Financial Advisors142457American Fork, UT
Joshua T. Smith801955410/06/202610/05/2026Raymond James Financial Services Advisors, Inc.149018Poulsbo, WA
Juan C. Paguaga777039110/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Miami, FL
Julia L. Weisman824914410/06/202610/05/2026Morgan Stanley149777Chicago, IL
Juliana E. Goodell812103510/06/202610/05/2026Goldman Sachs Wealth Services, L.P.106693Irving, TX
Julien Franklin820883410/06/202610/05/2026Bryn Mawr Trust Advisors, LLC285359Philadelphia, PA

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