David Fricke

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
CA	RA	APPROVED	2026-08-25
TX	RA	APPROVED	2026-08-24

CA RA
APPROVED

Since 2026-08-25
TX RA
APPROVED

Since 2026-08-24

Branch Locations

12154 California St, Yucaipa, CA 92399 • United States

Yucaipa, CA • 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
Edward Jones	Saint Louis	MO	08/2015	08/2026
Lpl Financial Llc	Yucaipa	CA	08/2026	Present

08/2015 → 08/2026

Edward Jones

Saint Louis, MO
08/2026 → Present

Lpl Financial Llc

Yucaipa, CA

Previous Registrations

2015-11-27 → 2026-08-25

Edward Jones

Beaumont, CA

Beaumont, CA

St Louis, MO

Yucaipa, CA

Other Businesses

1. 08/2026 - Heritage Financial Consultants Inc. - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – Yucaipa, CA, 92399 – OBA Start Date: 8/24/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-03

S66 Uniform Combined State Law Examination

2015-10-03

Other Names

David Scott Fricke

View on SEC IAPD