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David M Ferris

LPl Financial LLC

Bristol, CT

CRD 7305888

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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
CT RA APPROVED 2024-05-09
  • CT RA
    APPROVED
    Since 2024-05-09

Branch Locations

40 High St, Bristol, CT 06010 • 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
John Hancock Distributors Llc Boston MA 10/2020 03/2024
Oracle Corporation Burlington MA 06/2015 02/2020
Unemployed Boston MA 02/2020 10/2020
Lpl Financial Llc Bristol CT 03/2024 Present
  • 10/2020 → 03/2024
    John Hancock Distributors Llc
    Boston, MA
  • 06/2015 → 02/2020
    Oracle Corporation
    Burlington, MA
  • 02/2020 → 10/2020
    Unemployed
    Boston, MA
  • 03/2024 → Present
    Lpl Financial Llc
    Bristol, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-08
S63 Uniform Securities Agent State Law Examination 2019-12-19
  • S65 Uniform Investment Adviser Law Examination
    2024-05-08
  • S63 Uniform Securities Agent State Law Examination
    2019-12-19

View on SEC IAPD

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