David Anthony Arlott

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

• 11/2010 → 11/2016
  Wells Fargo Advisors Llc
  Houston, TX
• 11/2016 → 01/2019
  Wells Fargo Clearing Services, Llc
  Houston, TX
• 01/2019 → Present
  Lpl Financial Llc
  Houston, TX

Previous Registrations

• 2010-12-06 → 2019-01-22
  Wells Fargo Clearing Services, Llc
  Houston, TX
  Katy, TX
  Katy, TX
  Katy, TX
  Houston, TX
  Houston, TX
  Houston, TX
  Cypress, TX
  Houston, TX
  Missouri City, TX
  Addison, TX
  Houston, TX
  Katy, TX
  Houston, TX
  Houston, TX
  Houston, TX
• 2010-10-15 → 2010-12-08
  Pnc Managed Account Solutions, Inc.
  Houston, TX
• 2010-03-31 → 2010-10-15
  St Johns Wealth Management
  Sugarland, TX
• 2003-03-13 → 2010-03-10
  Bbva Compass Investment Solutions, Inc
  Sugar Land, TX
  Sugarland, TX
  Richmond, TX
  Houston, TX
  Sugar Land, TX
  Houston, TX
  Katy, TX
  Houston, TX
  Sugarland, TX
  Katy, TX
  Missouri City, TX

Other Businesses

1. 1/17/2019 - DBA for LPL Business (entity for LPL business) - Intrua Financial - 100% - Houston, TX 2. 03/06/2024 - NexAnnuity - Ohio State Life Insurance Co - Agent - Investment Related - At Reported Business Location(s) - Start Date 01/30/2024 - 2 Hours Per Month/ 1 Hour During Trading

Exams

• S66 Uniform Combined State Law Examination
  2000-08-30

Other Names

• David A Arlott
• David A. Arlott