David Brian Short

Employer firm

Investments & Financial Planning, LLC CRD 164333

$319M regulatory AUM 15 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Educational seminars
• FINANCIAL CONSULTING

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

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

Current Employers

Employment History

• 06/2012 → 08/2017
  Wfg Investments Inc
  Lexington, KY
• 08/2017 → 09/2020
  Securities Service Network, Inc
  Lexington, KY
• 09/2020 → 06/2021
  Securities America, Inc.
  Lexington, KY
• 01/2012 → Present
  Investments & Financial Planning, Llc
  Lexington, KY

Previous Registrations

• 2005-10-12 → 2012-07-16
  Lpl Financial Llc
  Lexington, KY
  Lexington, KY
  Richmond, KY
• 1999-05-19 → 2005-10-14
  Osaic Fs, Inc.
  Lexington, KY

Other Businesses

***DAVID B SHORT- AGENT POSITION: Agent NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2002 ADDRESS: 1795 Alysheba Way, Suite 7104, Lexington KY 40509, United States DESCRIPTION: Outside Insurance Sales ***DBS FINANCIAL SERVICES, LLC POSITION: Manager NATURE: LLC set up for tax reporting of income INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2009 ADDRESS: 1795 Alysheba Way Suite 7104, Lexington KY 40509, United States DESCRIPTION: LLC set up for tax reporting of income, LLC status. I run and manage this LLC.

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-04-22

Designations

• Certified Financial Planner
• Chartered Financial Consultant