David Anthony Troy

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

• 01/2011 → 08/2017
  Fidelity Investments
  West Hartford, CT
• 08/2017 → 01/2024
  Charles Schwab & Co., Inc.
  West Hartford, CT
• 08/2017 → 01/2024
  Charles Schwab Bank
  West Hartford, CT
• 01/2024 → Present
  Lpl Financial Llc
  Wethersfield, CT

Previous Registrations

• 2017-09-07 → 2024-01-26
  Charles Schwab & Co., Inc.
  West Hartford, CT
  Stamford, CT
• 2011-03-31 → 2017-08-13
  Strategic Advisers Llc
  West Hartford, CT
• 2008-11-18 → 2011-01-31
  Msi Financial Services, Inc.
  Glastonbury, CT
• 2003-01-16 → 2008-11-18
  Ameriprise Financial Services, Llc
  East Hartford, CT
  East Hartford, CT
  Glastonbury, CT

Other Businesses

1) 12/2023- OMNI Publishing Inc. - Author - Non Inv. Related - West Wareham; MA - start date 6/2023 - 8hrs/mth (2). OMNI Publishing Inc. |Investment Related: No| PO Box 58; West Wareham; MA; 02576; USA| Printing/Publishing |Author |2023-06-28|Hours Per Month: Less than 20|Hours Spent during Security Trading: 0|I have been asked to author a book called "So, You Think You Know Connecticut?" by a friend, Henry Quinlan, who is a publisher.

Exams

• S66 Uniform Combined State Law Examination
  2003-01-15

Other Names

• David Anthony Robert Troy
• David Anthony Robert Troy