David John Venegas

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	2022-05-18

CA RA
APPROVED

Since 2022-05-18

Branch Locations

1351 Harter Pkwy, Yuba City, CA 95993 • United States

352 East 1St St, Chico, CA 95928 • United States

5175 Skyway, Paradise, CA 95969 • United States

1384 East Ave, Chico, CA 95926 • United States

501 Adobe Rd, Red Bluff, CA 96080 • United States

1036 Oro Dam Blvd, Oroville, CA 95965 • United States

2867 Bechelli Ln, Redding, CA 96002 • United States

5026 Rhonda Rd, Anderson, CA 96007 • United States

1255 Yuba St, Redding, CA 96001 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Questar Capital Corporation	Minneapolis	MN	06/2009	12/2017
Questar Asset Management	Minneapolis	MN	06/2009	12/2017
Cuna Brokerage Services, Inc	Waverly	IA	12/2017	Present
Cuna Mutual Group	Waverly	IA	12/2017	Present
Lpl Financial Llc	Marysville	CA	05/2022	Present

06/2009 → 12/2017

Questar Capital Corporation

Minneapolis, MN
06/2009 → 12/2017

Questar Asset Management

Minneapolis, MN
12/2017 → Present

Cuna Brokerage Services, Inc

Waverly, IA
12/2017 → Present

Cuna Mutual Group

Waverly, IA
05/2022 → Present

Lpl Financial Llc

Marysville, CA

Previous Registrations

2018-01-05 → 2022-05-18

Cuna Brokerage Services, Inc.

Chico, CA

Waverly, IA

Marysville, CA
2009-06-15 → 2017-12-21

Questar Asset Management, Inc.

Minneapolis, MN

Chico, CA
2008-04-23 → 2009-03-26

Banc Of America Investment Services, Inc.

Chico, CA

Orland, CA

Chico, CA

Chico, CA

Chico, CA

Other Businesses

1. 5/23/2022 - Sierra Central Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-04-21
S63	Uniform Securities Agent State Law Examination	1997-04-05

S65 Uniform Investment Adviser Law Examination

2008-04-21
S63 Uniform Securities Agent State Law Examination

1997-04-05

View on SEC IAPD