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David Michael Humes

LPl Financial LLC

Indianapolis, IN

CRD 6541473

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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

AuthorityCategoryStatusDate
IN RA APPROVED 2022-06-21
  • IN RA
    APPROVED
    Since 2022-06-21

Branch Locations

Indianapolis, IN • 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
Edward Jones St. Louis MO 06/2016 06/2022
Lpl Financial, Llc Indianapolis IN 06/2022 Present
Previous Registrations
  • 2016-06-13 → 2022-06-22
    Edward Jones
    Indianapolis, IN
    St Louis, MO
    Carmel, IN
    Indianapolis, IN
  • 2015-11-04 → 2016-05-20
    Waddell & Reed
    Charleroi, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-11-04
  • S66 Uniform Combined State Law Examination
    2015-11-04
Other Names
  • David Michael Humes
  • David Michael Humes

View on SEC IAPD

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