David Andrew Farrell

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

• 10/2009 → Present
  Community Bank Whtn Glen Ellyn
  Glen Ellyn, IL
• 07/2015 → 01/2025
  Wayne Hummer Investments Llc
  Wheaton, IL
• 01/2025 → Present
  Lpl Financial Llc
  Wheaton, IL

Previous Registrations

• 2015-07-27 → 2025-01-23
  Wintrust Investments Llc
  Wheaton, IL
  Chicago, IL
  Wheaton, IL
  Naperville, IL
  Naperville, IL
  Wheaton, IL
• 2009-11-17 → 2015-07-31
  Lpl Financial Llc
  Glen Ellyn, IL
  Wheaton, IL
  Wheaton, IL
• 2006-09-27 → 2008-03-19
  J.P. Morgan Securities Inc.
  Green Bay, WI
  Neenah, WI
  Neenah, WI
• 2005-09-12 → 2006-09-27
  Banc One Securities Corporation
  Appleton, WI
  Chicago, IL
  Green Bay, WI
• 2000-11-09 → 2005-01-04
  J.P. Morgan Asset Management
  Chicago, IL

Other Businesses

1. 01/2025- WINTRUST INVESTMENTS- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2015- 160 Hours Per Month- 160 Hours During Trading 2. 01/2025- Wintrust Investments and Insurance Agency- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/01/2015- 3 Hours Per Month- 3 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2005-09-27
• S65 Uniform Investment Adviser Law Examination
  2000-09-01
• S63 Uniform Securities Agent State Law Examination
  1997-07-29

Designations

• Certified Financial Planner

Other Names

• Dave Farrell
• David Andrew Farrell