David J Koch

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

• 08/2014 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 08/2014 → 05/2023
  Sigma Planning Corporation
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  Rockford, IL

Previous Registrations

• 2014-08-18 → 2023-05-15
  Spc
  Rockford, IL
  Ann Arbor, MI
  Rockford, IL
  Mchenry, IL
• 2008-11-07 → 2014-08-22
  Robert W. Baird & Co. Incorporated
  Rockford, IL
• 2006-02-15 → 2008-11-10
  Ameriprise Advisor Services, Inc.
  St. Charles, IL
  St. Charles, IL

Other Businesses

1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/12/2023 - PineRidge Acres LLC - Not Investment Related - Amboy, IL - Business Entity For Tax/Investment Purposes Only - Co-Owner - Start Date 10/12/1992 - Time Spent 2% 3. 03/19/2026 - Koch Financial Group LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Sublette, IL - Start Date 10/14/2025 - 120 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-01-12
• S63 Uniform Securities Agent State Law Examination
  2000-06-08