David Brent Gough

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

• 03/2011 → Present
  Lpl Financial, Llc
  Edgewater, MD

Previous Registrations

• 2009-06-01 → 2011-03-14
  Morgan Stanley
  Annapolis, MD
  Annapolis, MD
• 2006-02-21 → 2009-06-01
  Citigroup Global Markets Inc.
  Bowie, MD
  Bowie, MD
  Bowie, MD
• 1997-09-19 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Bowie, MD

Other Businesses

1. 2/2/2012: DBA ONLY - COMPASS WEALTH STRATEGIES, LLC - EDGEWATER, MD

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-04-12
• S63 Uniform Securities Agent State Law Examination
  1983-05-12

Designations

• Certified Financial Planner