David Joseph Powell

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

• 09/2014 → 05/2021
  Voya Financial Advisors
  Endicott, NY
• 05/2021 → Present
  Lpl Financial, Llc
  Endicott, NY

Previous Registrations

• 2010-10-27 → 2021-05-26
  Voya Financial Advisors, Inc.
  Charlotte, NC
  Endicott, NY
• 2010-09-10 → 2010-10-21
  Equitable Advisors, Llc
  Endicott, NY
  Endicott, NY
  Vestal, NY

Other Businesses

1. 05/24/2021 - Inv Related - Endicott, NY - Real Estate Rental - Started: 10/1999 - 1 Hr/Mo - 1% of Time Spent. 2. 05/24/2021 - DJP Financial - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 5/2021 - 140 Hrs/Mo - 90% of Time SPent. 3. 06/20/2024 - Inv Related - At reported Business Location(s) - Non-Variable Insurance - Started: 6/17/2024 - 1 Hr/Mo; 0 Hr During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-28
• S63 Uniform Securities Agent State Law Examination
  1998-03-16

Other Names

• Dave Powell
• David Powell