David Enrique Caballero

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-04-27
NC	RA	APPROVED	2006-02-10

TX RA
APPROVED_RES

Since 2018-04-27
NC RA
APPROVED

Since 2006-02-10

Branch Locations

Wake Forest, NC • 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

Organization	City	State	From	To
Lpl Financial Llc	Raleigh	NC	10/2005	Present

10/2005 → Present

Lpl Financial Llc

Raleigh, NC

Other Businesses

1. 1/28/2009 - DBA ONLY - CABALLERO WEALTH MANAGEMENT GROUP - RALEIGH, NC. 2. 10/24/2022 - Caballero Holdings LLC - Not Investment Related - Raleigh NC 27614, Raleigh NC 27609 and Raleigh NC 27615 - Real Estate Rental - Start Date: 10/01/13 - 3 Hours Per Month/1 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-02-09
S63	Uniform Securities Agent State Law Examination	2002-11-14

S65 Uniform Investment Adviser Law Examination

2006-02-09
S63 Uniform Securities Agent State Law Examination

2002-11-14

Designations

View on SEC IAPD