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David Maxwell Irving

LPl Financial LLC

San Diego, CA

Smithtown, NY

Smithtown, NY

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-03-26
  • NY RA
    APPROVED
    Since 2025-03-26

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

227 E Main St, Smithtown, NY 11787 • United States

227 E Main St, Smithtown, NY 11787 • 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
Pioneer Investment Management Usa Inc. Boston MA 08/2013 12/2020
Osaic Wealth, Inc. Scottsdale AZ 10/2024 03/2025
Lpl Financial Llc Smithtown NY 03/2025 Present
Unemployed Norwalk CT 12/2020 06/2022
American Portfolios Smithtown NY 06/2022 10/2024
  • 08/2013 → 12/2020
    Pioneer Investment Management Usa Inc.
    Boston, MA
  • 10/2024 → 03/2025
    Osaic Wealth, Inc.
    Scottsdale, AZ
  • 03/2025 → Present
    Lpl Financial Llc
    Smithtown, NY
  • 12/2020 → 06/2022
    Unemployed
    Norwalk, CT
  • 06/2022 → 10/2024
    American Portfolios
    Smithtown, NY
Previous Registrations
  • 2024-10-11 → 2025-03-28
    Osaic Wealth, Inc.
    Smithtown, NY
    Hauppauge, NY
    Scottsdale, AZ
  • 2022-07-06 → 2024-10-11
    American Portfolios Advisors, Inc
    Holbrook, NY
  • 2013-08-13 → 2020-12-31
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
  • 2011-12-16 → 2013-03-05
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Wellesley Hills, MA
  • 2010-06-23 → 2011-12-06
    Cantella & Co., Inc.
    Malden, MA
Other Businesses

1)03/12/2025 - Synergy Wealth Strategies - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-28
  • S66 Uniform Combined State Law Examination
    2009-12-28
Other Names
  • David M Irving
  • David M Irving

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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