David T Carruth

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

• 12/2009 → 02/2025
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 01/2010 → 02/2025
  Northwestern Mutual Investment Services Llc
  Provo, UT
• 01/2016 → 02/2025
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 02/2025 → Present
  Lpl Financial
  Highland, UT

Previous Registrations

• 2010-08-09 → 2025-02-21
  Northwestern Mutual Investment Services, Llc
  Provo, UT

Other Businesses

1- 01/2025 / Happier Wealth / DBA for LPL Business (entity for LPL business) / AT LOCATION / INV RLTD / START 02/14/2025 2- 01/2025 / David Carruth / Real Estate Rental / INV RLTD / START 07/01/2021 3- 01/2025 / Rohrer & Associates / Non-Variable Insurance / INV RLTD / 4 HRS MNTH / 1 HRS DURING TRADING / START 01/01/2015 4- 01/28/2026 - Oakview Financial - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 12/01/2025 - 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2010-08-03
• S63 Uniform Securities Agent State Law Examination
  2006-08-05