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David M Cotton

LPl Financial LLC

Indianapolis, IN

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2017-04-05
  • IN RA
    APPROVED
    Since 2017-04-05

Branch Locations

910 N. Delaware St., Indianapolis, IN 46202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Indianapolis IN 01/2016 Present
Previous Registrations
Other Businesses

1)4/5/17-Eminent Wealth Strategies- DBA for LPL Business (entity for LPL business)- Inv. Related- Indianapolis, IN -start date 1/1/2016 - 100%

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-08-04
S65 Uniform Investment Adviser Law Examination 2007-01-26
  • S63 Uniform Securities Agent State Law Examination
    2017-08-04
  • S65 Uniform Investment Adviser Law Examination
    2007-01-26

View on SEC IAPD

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Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
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STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

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