David Lee Travis

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

• 01/2013 → 03/2017
  Metlife Securities Inc.
  Springfield, IL
• 03/2017 → 06/2020
  Mml Investors Services, Llc
  Springfield, IL
• 06/2020 → Present
  Lpl Financial Llc
  Springfield, IL

Previous Registrations

• 2017-03-25 → 2020-07-01
  Mml Investors Services, Llc
  Springfield, IL
• 2013-01-23 → 2017-03-25
  Msi Financial Services, Inc.
  Springfield, IL
• 2012-10-01 → 2013-01-07
  J.P. Morgan Securities Llc
  Springfield, IL
  Springfield, IL
• 2010-04-27 → 2012-10-01
  Chase Investment Services Corp.
  Springfield, IL
  Springfield, IL
• 2006-12-21 → 2009-07-14
  Equitable Advisors, Llc
  Springfield, IL

Other Businesses

1)06/29/2020 - EMPLOYEE BENEFIT SOLUTIONS - Non-Variable Insurance - inv rel - at reported business location(s) - staret: 06/2020 - 10 hr/mth 2) 11/15/2022 - Essential Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 06/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2006-12-20

Other Names

• David Lee Travis