David Emile Heltz

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2014-01-21
LA	RA	APPROVED	2009-07-02

TX RA
APPROVED

Since 2014-01-21
LA RA
APPROVED

Since 2009-07-02

Branch Locations

4611 Bluebonnet Blvd, Ste A, Baton Rouge, LA 70809 • 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	Baton Rouge	LA	06/2009	Present

06/2009 → Present

Lpl Financial

Baton Rouge, LA

Previous Registrations

2003-01-24 → 2009-06-29

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baton Rouge, LA

Baton Rouge, LA

Other Businesses

1. 06/26/09 - DBA - LEE,DOUGHERTY & FERRARA INVESTMENT MANAGEMENT. LA 2. 11/10/09 - DBA HELTZ FINANCIAL CONSULTANTS LLC. 3. 10/05/2010 - NON-VARIABLE INSURANCE, 5%. 4. 10/31/2012 - NON-VARIABLE INSURANCE - LDF INSURANCE AGENCY, LLC - SELL INSURANCE. - TIME SPENT 5% - BATON ROUGE, LA 5. 5/30/2018 - LDFwealth Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:05/24/2018 - 1 Hour(s) Per Month/0 Hour(s) During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-01-22

S66 Uniform Combined State Law Examination

2003-01-22

Designations

Chartered Financial Consultant

Other Names

David Heltz

View on SEC IAPD