David Scott Steinfeld

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

• 06/2015 → Present
  Lpl Financial Llc
  Brentwood, TN
• 03/2020 → 08/2021
  Caldwell Advisors, Llc
  Brentwood, TN

Previous Registrations

• 2020-03-31 → 2021-10-04
  Caldwell Advisors, Llc
  Brentwood, TN
• 2009-01-02 → 2015-07-02
  Raymond James Financial Services Advisors, Inc
  Franklin, TN
  Nashville, TN
  Brentwood, TN
• 2004-02-12 → 2009-01-02
  Raymond James Financial Services, Inc.
  Franklin, TN
  Nashville, TN
  Brentwood, TN
  Brentwood, TN
  Brentwood, TN
  Henderson, KY
  Brentwood, TN
• 2004-01-15 → 2004-02-04
  Morgan Keegan & Company, Llc
  Nashville, TN

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-11
• S63 Uniform Securities Agent State Law Examination
  1994-09-22

Other Names

• Dave Steinfield