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 101–125 of 198. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Kane T. A. D. Pino832492310/06/202610/05/2026Principal Advised Services297324Charlotte, NC
Karissa C. Fortna669821010/06/202610/05/2026LPL Financial LLC6413La Quinta, CA
Kayla B. Ledford698274710/06/202610/05/2026Edward Jones250Acworth, GA
Kevin J. Degnan689987410/06/202610/05/2026CFS Financial, LLC173972Salem, MA
Kevin V. Reilly685634610/06/202610/05/2026Eagle Strategies LLC110826Uniondale, NY
Keythan Sato832147610/06/202610/05/2026MML Investors Services, LLC10409Wakefield, MA
Komalpreet Kaur682388910/06/202610/05/2026Stifel, Nicolaus & Company, Incorporated793Naperville, IL
Kristina Frederick780193510/06/202610/05/2026Charles Schwab & Co., Inc.5393Monument, CO
Kurt D. Rieke238114310/06/202610/05/2026Pathstone151736San Francisco, CA
Kyle Coden834322510/06/202610/05/2026Mariner140195Boston, MA
Lanie Nevil831824910/06/202610/05/2026J.P. Morgan Securities LLC79Plano, TX
Lauren E. Shondeck745759910/06/202610/05/2026J. W. Cole Advisors, Inc.112294Crested Butte, CO
Lauren L. Dumont815438210/06/202610/05/2026LPL Financial LLC6413Tampa, FL
Lauren M. Bush796545010/06/202610/05/2026USA Financial Securities LLC103857Norristown, PA
Lauren N. Shinn795087310/06/202610/05/2026Raymond James & Associates, Inc.705New York, NY
Leah D. Doussard727425110/06/202610/05/2026Ballew Advisors Inc.110522Jackson, MS
Lena K. Marshall830324010/06/202610/05/2026TIAA-CREF Individual & Institutional Services, LLC20472Dallas, TX
Leon Roberts822317010/06/202610/05/2026State Farm Investment Management Corp.3487Manhattan, KS
Long N. Vu762973610/06/202610/05/2026Charles Schwab & Co., Inc.5393Westlake, TX
Loren C. DeBoutez829752410/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Lori A. Barr445434710/06/202610/05/2026T. Rowe Price Advisory Services, Inc.108958Colorado Springs, CO
Lucien X. Zakrzewicz819817910/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Luke J. Edds756521810/06/202610/05/2026Stifel, Nicolaus & Company, Incorporated793Louisville, KY
Luke J. Tarr828470210/06/202610/05/2026Vanguard Advisers, Inc.106715Malvern, PA
Madeline G. Baker820970010/06/202610/05/2026Delta Advisory Group, Inc.105966Maitland, FL

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