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 151–175 of 198. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Nicholas Parisi781285610/06/202610/05/2026Retirement Planning Group, LLC310647East Syracuse, NY
Nikolas R. DeAngelo828611910/06/202610/05/2026J.P. Morgan Securities LLC79Boston, MA
Olle Aakermark797496310/06/202610/05/2026Charles Schwab & Co., Inc.5393Omaha, NE
Othoniel Castillo827967110/06/202610/05/2026Vanguard Advisers, Inc.106715Scottsdale, AZ
Parker Norling823957210/06/202610/05/2026Thrivent Investment Management Inc.18387Andover, MN
Patrick B. Gawrych417466910/06/202610/05/2026Simplicity Wealth300572Greenback, TN
Patrick Bollinger675499210/06/202610/05/2026Wealth Planning Group291708Baltimore, MD
Patrick J. Sutton266732810/06/202610/05/2026Wells Fargo Clearing Services, LLC19616Simpsonville, SC
Peter T. Konapitsky627642410/06/202610/05/2026LPL Financial LLC6413Indian Land, SC
Ping Lin731749910/06/202610/05/2026Schwab Wealth Advisory, Inc.159035Walnut Creek, CA
Quintin E. McDonald772704510/06/202610/05/2026RBC Capital Markets, LLC31194Blaine, MN
Rachael A. Crosby642268110/06/202610/05/2026LPL Financial LLC6413Watertown, MA
Ramiro V. Garcia805821910/06/202610/05/2026Vanguard Advisers, Inc.106715Scottsdale, AZ
Richard C. Burke489908110/06/202610/05/2026LPL Financial LLC6413Boston, MA
Richard D. Perez831625510/06/202610/05/2026CCS Fiduciary Governance Consulting Group, LLC343500Forest Hills, NY
Richard P. Santos603050910/06/202610/05/2026Eagle Strategies LLC110826Waltham, MA
Riva Lantaya794787310/06/202610/05/2026LPL Financial LLC6413Las Vegas, NV
Ruel C. Borromeo780458610/06/202610/05/2026Empower Advisory Group, LLC112058Greenwood Village, CO
Ryan M. Pyland834194510/06/202610/05/2026LPL Enterprise, LLC8733Syracuse, NY
Salim O. Myers820871210/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Brunswick, GA
Sally Macleod825858310/06/202610/05/2026Citigroup Global Markets Inc.7059Los Angeles, CA
Sanjeshwari Nand788371710/06/202610/05/2026Vanguard Advisers, Inc.106715Scottsdale, AZ
Sara Paz818317510/06/202610/05/2026Cerity Partners LLC151559Boston, MA
Sarah A. Szpak702758110/06/202610/05/2026Merrill Lynch, Pierce, Fenner & Smith Incorporated7691Nashville, TN
Scott E. Francis787108910/06/202610/05/2026Ponta Wealth Partners, LLC330058Winter Park, FL

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