David Espinoza

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

• 04/2011 → Present
  Lpl Financial Llc
  San Antonio, TX

Previous Registrations

• 2010-02-17 → 2011-05-02
  Swbc Investment Company
  San Antonio, TX
• 2008-10-01 → 2010-03-16
  Lpl Financial Llc
  San Antonio, TX
• 2007-11-02 → 2008-09-11
  Banc Of America Investment Services, Inc.
  San Antonio, TX
  San Antonio, TX
• 2005-12-07 → 2007-11-06
  Chase Investment Services Corp.
  San Antonio, TX
  San Antonio, TX
  San Antonio, TX
• 2004-08-17 → 2005-12-02
  Usaa Investment Services Company
  San Antonio, TX

Other Businesses

1. 1/28/2019 - nePara Group, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2019 - 180 Hours Per Month/150 Hours During Securities Trading. 2. 06/05/2024 - nePara Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 40 Hours per Month/ During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-08-13
• S63 Uniform Securities Agent State Law Examination
  1997-05-02

Other Names

• David Espinoza