David James Millington

Current Employers

Employment History

• 11/2007 → 06/2021
  Ubs Financial Services Inc
  Chicago, IL
• 06/2021 → Present
  Lpl Financial, Llc
  Schaumburg, IL
• 05/2021 → Present
  Gladstone Wealth Partners
  Schaumburg, IL

Previous Registrations

• 2007-11-16 → 2021-06-22
  Ubs Financial Services Inc.
  Barrington, IL
  Chicago, IL
• 2007-04-02 → 2007-11-20
  Morgan Stanley & Co. Llc
  Barrington, IL
• 2003-09-10 → 2007-04-02
  Morgan Stanley Dw Inc.
  Barrington, IL
  Barrington, IL

Other Businesses

1)05/25/2021 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - PUZZLE WEALTH SOLUTIONS - INVESTMENT RELATED - SCHAUMBURG, IL 60195 2)06/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - GLADSTONE WEALTH PARTNERS - INVESTMENT RELATED - SCHAUMBURG, IL 60195 3)05/25/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - PUZZLE WEALTH SOLUTIONS - INVESTMENT RELATED - SCHAUMBURG, IL 60195 4) 6/16/2021 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Gladstone Advisory Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/25/2021 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Gladstone Institutional Advisory, LLC, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 6/16/2021 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Puzzle Wealth Solutions - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/25/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Gladstone Institutional Advisory, LLC, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 12/15/2022 - Jigsaw National LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 11/08/2022 - 0 Hours Per Month/0 Hours During Securities Trading 7) 06/23/2023 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 04/18/2023 - 4 Hours Per Month/ 2 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-03-19
• S63 Uniform Securities Agent State Law Examination
  1999-08-09

Designations