David Charles Ferrell

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 02/2019
  Ameriprise Financial Services, Inc.
  Freehold, NJ
• 02/2019 → Present
  Lpl Financial Llc
  Red Bank, NJ

Previous Registrations

• 2015-01-23 → 2019-03-08
  Ameriprise Financial Services, Llc
  Freehold, NJ
• 2009-06-01 → 2015-01-30
  Morgan Stanley
  Red Bank, NJ
  Red Bank, NJ
• 2006-10-23 → 2009-06-01
  Citigroup Global Markets Inc.
  Red Bank, NJ
  Shrewsbury, NJ
  New York, NY
  Shrewsbury, NJ

Other Businesses

1- 11/23/2020 - Gladstone Wealth Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/05/2020- 150 hours per month/ 6 hours during trading 2- 04/27/2026 - New Jersey Division of Developemental Disabilities - Outside/W-2 Employment - Not Investment Related - Middletown, NJ - Start Date 01/01/2025 - 220 hours per month/ 4 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2006-10-17
• S63 Uniform Securities Agent State Law Examination
  1988-11-18