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David Judd Edwards

LPl Financial LLC

Sauk City, WI

Baraboo, WI

Wisconsin Dells, WI

Spring Green, WI

Reedsburg, WI

Dodgeville, WI

Mount Horeb, WI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-19
WI RA APPROVED 2021-03-24
  • TX RA
    APPROVED
    Since 2021-07-19
  • WI RA
    APPROVED
    Since 2021-03-24

Branch Locations

615 Water Street, Sauk City, WI 53583 • United States

1159 Eighth St, Baraboo, WI 53913 • United States

501 Broadway, Wisconsin Dells, WI 53965 • United States

209 E Jefferson St, Spring Green, WI 53588 • United States

500 Viking Drive, Reedsburg, WI 53959 • United States

302 North Iowa Street, Dodgeville, WI 53533 • United States

Mount Horeb, WI • 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
Bmo Harris Bank Na Sauk City WI 07/2011 Present
Bmo Harris Financial Advisors, Inc. Sauk City WI 08/2012 03/2021
Lpl Financial, Llc Sauk City WI 03/2021 Present
  • 07/2011 → Present
    Bmo Harris Bank Na
    Sauk City, WI
  • 08/2012 → 03/2021
    Bmo Harris Financial Advisors, Inc.
    Sauk City, WI
  • 03/2021 → Present
    Lpl Financial, Llc
    Sauk City, WI
Previous Registrations
  • 2012-08-01 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Sauk City, WI
    Sauk City, WI
    Dodgeville, WI
    Chicago, IL
  • 2006-11-06 → 2012-08-01
    M&I Financial Advisors, Inc
    Sauk City, WI
    Madison, WI
    Lancaster, WI
    Dodgeville, WI
  • 2010-04-27 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
  • 2005-09-02 → 2006-07-31
    First Command Brokerage Services, Inc.
    92655 Grafenwoehr
    92249 Vilseck-Sorghof
  • 2005-01-04 → 2005-09-02
    First Command Bank
    Fort Worth, TX
Other Businesses

1. 4/13/2021 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-12
S63 Uniform Securities Agent State Law Examination 1997-11-15
  • S65 Uniform Investment Adviser Law Examination
    2004-11-12
  • S63 Uniform Securities Agent State Law Examination
    1997-11-15
Designations
Other Names
  • Dave Edwards

View on SEC IAPD

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