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David Hamilton Gaynes

LPl Financial LLC

Atlanta, GA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2018-04-18
GA RA APPROVED 2011-08-11
TX RA APPROVED 2011-08-09
  • LA RA
    APPROVED
    Since 2018-04-18
  • GA RA
    APPROVED
    Since 2011-08-11
  • TX RA
    APPROVED
    Since 2011-08-09

Branch Locations

200 Ashford Ctr N Ste 400, Atlanta, GA 30338 • 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
Lpl Financial Llc Atlanta GA 08/2011 Present
Previous Registrations
  • 2006-01-18 → 2011-08-09
    Securities America Advisors, Inc.
    Atlanta, GA
    Atlanta, GA
  • 2003-12-03 → 2006-01-10
    Securities America Advisors, Inc.
    Atlanta, GA
  • 2003-03-10 → 2003-12-02
    Veravest Investment Advisors, Inc.
    Atlanta, GA
Other Businesses

(1) 05/24/2011: Commonwealth - VA Trails - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - 1% OF TIME SPENT - AGENT/RECEIVE TRAILS ON EXISTING BUSINESS. (2) 09/07/2011: Gaynes Financial Services, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (3) 01/12/2012: Integrated Financial Group, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (4) 10/26/2016: IFG-DFA - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start 01/01/2013 - 4 Hr/Mo; 0 Hour(s) During Securities Trading. (5) 12/19/2016: DHG Properties, LLC - Investment Related - Business Entity For Tax/Investment Purposes Only - Started 12/09/2016 - 1 Hour Per Month/0 Hours During Securities Trading. (6) 6/22/2017: Integrated Support Services - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2004 - 1 Hour Per Month During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-31
S63 Uniform Securities Agent State Law Examination 1991-08-21
  • S65 Uniform Investment Adviser Law Examination
    1995-10-31
  • S63 Uniform Securities Agent State Law Examination
    1991-08-21
Designations

View on SEC IAPD

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