David Om Setia

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
VA	RA	APPROVED	2025-03-04
TX	RA	APPROVED	2023-05-17
FL	RA	APPROVED	2021-10-21
MD	RA	APPROVED	2016-07-20

VA RA
APPROVED

Since 2025-03-04
TX RA
APPROVED

Since 2023-05-17
FL RA
APPROVED

Since 2021-10-21
MD RA
APPROVED

Since 2016-07-20

Branch Locations

Celina, TX • United States

1765 Greensboro Station Pl Ste 900, Mclean, VA 22102 • 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
Lpl Financial, Llc	Miami	FL	02/2016	Present

02/2016 → Present

Lpl Financial, Llc

Miami, FL

Previous Registrations

2015-04-20 → 2016-02-03

Dominion Wealth Management, Inc.

Reston, VA

Other Businesses

1) 02/27/2025 - FedWise Advisors, LLC - Investment Related - Home Based - DBA for LPL Business (entity for LPL business) - Start Date:01/26/2025 - 160 Hrs/Mth - 160 Hrs During Trading. 2) 05/08/2025 - David Setia - Other - Personal Training - Not Inv related - Home based - Start Date: 02/03/2025 - 4 Hrs/Mth - 0 Hrs During Trading. 3) 05/08/2025 - RockBox - Other - Fitness - Frisco, TX - Not Inv related - Start Date: 04/01/2025 - 2 Hrs/Mth - 2 Hrs During Trading. 4) 05/05/2025 - SPENGA - Other - Fitness - Frisco, TX - Not Inv related - Start Date: 04/01/2025 - 20 Hrs/Mth - 5 Hrs During Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2016-09-02
S65	Uniform Investment Adviser Law Examination	2015-04-20

S63 Uniform Securities Agent State Law Examination

2016-09-02
S65 Uniform Investment Adviser Law Examination

2015-04-20

View on SEC IAPD