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

Download data (CSV)

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 176–198 of 198. The CSV contains the complete table.

AdviserIndividual CRDSource snapshot dateFirst registration dateFirm in feedFirm CRDAdviser location
Shakeb Kundiwala725628010/06/202610/05/2026Shariawiz Advisory342423Folsom, CA
Stanley Stralkowski828940410/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Stephen P. Wiggins548448410/06/202610/05/2026Equity Services, Inc.265Fort Worth, TX
Stuart G. Carruthers821257010/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Sumer Miller835338910/06/202610/05/2026RBC Rochdale, LLC117198Chicago, IL
Tahij J. Thomas795841310/06/202610/05/2026Wells Fargo Clearing Services, LLC19616Roseville, MN
Tanner M. Drake740886010/06/202610/05/2026Cetera Investment Advisers LLC105644St. Louis, MO
Tanya Stanley819263910/06/202610/05/2026Thrivent Investment Management Inc.18387Minneapolis, MN
Teale L. Long648846610/06/202610/05/2026Neuberger Berman BD LLC2908Charlotte, NC
Thomas Beauregard784808710/06/202610/05/2026&Partners3767Clayton, MO
Tia A. Reese790946610/06/202610/05/2026RBC Capital Markets, LLC31194Vienna, VA
Timothy M. Kenny706299110/06/202610/05/2026Chicago Partners Investment Group LLC147662Lagrange, IL
Travis W. Smith694813110/06/202610/05/2026Cambridge Investment Research Advisors, Inc.134139Ridgefield, WA
Tyler E. Scott829429210/06/202610/05/2026Morgan Stanley149777Augusta, GA
Tyler J. Keegan726456210/06/202610/05/2026Cerity Partners LLC151559Albany, NY
Victoria R. Ben814974810/06/202610/05/2026Morgan Stanley149777Long Beach, CA
Wendy Voss744882110/06/202610/05/2026Edward Jones250Fitchburg, WI
William B. Blakeney835417610/06/202610/05/2026Florida Financial Advisors, LLC288811Wilmington, DE
William J. G. Chilton833842710/06/202610/05/2026United Capital Management of Kansas, Inc.157755Avalon, CA
William Zittle817635610/06/202610/05/2026Citizens Securities, Inc.39550Conshohocken, PA
Zachary T. Bess635004610/06/202610/05/2026Wells Fargo Advisors Financial Network, LLC11025St. Louis, MO
Zane L. Ochsendorf798646310/06/202610/05/2026MML Investors Services, LLC10409Minneapolis, MN
Zane L. Sanders795625510/06/202610/05/2026Schwab Wealth Advisory, Inc.159035Orlando, FL

Download data (CSV)