David Russell Allen

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
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED_RES	2021-06-02

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2021-06-02

Branch Locations

460 E Front St, Owego, NY 13827 • 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

Organization	City	State	From	To
Tioga State Bank	Owego	NY	09/1997	05/2021
Lpl Financial Llc	Owego	NY	08/1999	Present

09/1997 → 05/2021

Tioga State Bank

Owego, NY
08/1999 → Present

Lpl Financial Llc

Owego, NY

Other Businesses

1. 1/4/2012 - No Business Name - Not Investment Related - Notary - NOTARY PUBLIC, STATE OF NY - 0 Hrs/Mth - 0 Hrs During Trading - Time Spent -0%. 2. 11/12/2019 - No Business Name - Investment Related - Owego, NY - Real Estate Rental - Started 01/01/2009 - 2 Hours Per Month/0 Hours During Securities Trading - 4 family home, next door to residence. 3) 07/10/2025 - Tioga County Republican Committee - Not Investment Related - Non-Profit Board Member - 113 Front Street - Start Date:07/07/2025 - 1 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-04
S63	Uniform Securities Agent State Law Examination	1997-10-27

S65 Uniform Investment Adviser Law Examination

1999-11-04
S63 Uniform Securities Agent State Law Examination

1997-10-27

Other Names

David Russell Allen

View on SEC IAPD