David John Vanderzwaag

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

• 05/2007 → 11/2017
  National Planning Corporation
  San Jose, CA
• 11/2017 → Present
  Lpl Financial Llc
  San Jose, CA

Previous Registrations

• 2007-05-07 → 2017-11-29
  National Planning Corporation
  Monterey, CA
  El Segundo, CA
  San Jose, CA
• 1997-07-08 → 2007-05-15
  Whjr Associates
  San Jose, CA

Other Businesses

1. 5/30/2018 - VANDER ZWAAG FINANCIAL, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Owner - Start Date: 02/01/2000 - 80 Hours Per Month/80 Hours During Securities Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-12-29