David Allen Caples

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

• 02/2001 → Present
  Linsco/Private Ledger
  Overland Park, KS

Other Businesses

1. 09/16/05- SELLING FIXED INSURANCE PRODUCTS 2. 09/18/2025- Overland Investment Management, LLC- For-Profit Board Member- Not INV Related- At OVERLAND PARK, KS - Start date 09/08/2025- 10 Hours Per Month

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-08-24
• S63 Uniform Securities Agent State Law Examination
  2000-06-26