David Paul Bax

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

• 12/2014 → 11/2017
  National Planning Corporation
  Las Vegas, NV
• 11/2017 → Present
  Lpl Financial, Llc
  Las Vegas, NV

Previous Registrations

• 2016-04-07 → 2017-11-29
  National Planning Corporation
  Las Vegas, NV
  El Segundo, CA

Other Businesses

1. 11/29/2017 - Bax Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/5/14 - 20 Hours Per Month/15 Hours During Securities Trading. 2. 8/22/2018 - No Business Name - Investment Related - 10304 Mountain Lodge Place, Las Vegas, NV 89144 - Non-Variable Insurance - Agent - Start Date: 11/01/1983 - 40 Hours Per Month/30 Hours During Securities Trading - Insurance and annuity sales.

Exams

• S66 Uniform Combined State Law Examination
  2016-03-19
• S63 Uniform Securities Agent State Law Examination
  1985-06-01

Other Names

• David P Bax