David Crance Haraway

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
FL	RA	APPROVED	2023-11-06
CO	RA	APPROVED	2012-08-15

FL RA
APPROVED

Since 2023-11-06
CO RA
APPROVED

Since 2012-08-15

Branch Locations

Colorado Springs, CO • 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	Colorado Springs	CO	08/2012	Present

08/2012 → Present

Lpl Financial Llc

Colorado Springs, CO

Previous Registrations

2011-04-25 → 2012-08-10

Raymond James Financial Services Advisors, Inc

Minot, ND
2005-09-29 → 2011-04-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Colorado Springs, CO

Colorado Springs, CO

Other Businesses

1. 08/15/2012: NO BUSINESS NAME - Investment Related - Other - Own various mineral rights in Oklahoma for lease and drilling. - NO TIME SPENT. 2. 12/18/2012: Substantial Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-09-28

S66 Uniform Combined State Law Examination

2005-09-28

View on SEC IAPD