Barry Stephen Davis

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
TX	RA	APPROVED_RES	2018-01-25

TX RA
APPROVED_RES

Since 2018-01-25

Branch Locations

Tucson, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Linsco Private Ledger Corp	Tucson	AZ	03/2007	Present

03/2007 → Present

Linsco Private Ledger Corp

Tucson, AZ

Previous Registrations

2005-03-09 → 2007-03-30

Ferguson Investment Services Pllc

Tucson, AZ

Other Businesses

1.01/28/2010- GRAYSON ASSOCIATES LLC, DBA ONLY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-03-07
S63	Uniform Securities Agent State Law Examination	1980-11-13

S65 Uniform Investment Adviser Law Examination

2005-03-07
S63 Uniform Securities Agent State Law Examination

1980-11-13

Other Names

Barry Stephen Davis

View on SEC IAPD