Dave Raphael Lalla

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
NJ	RA	APPROVED	2010-01-07

NJ RA
APPROVED

Since 2010-01-07

Branch Locations

Edison, NJ • 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
Lpl Financial	Paramus	NJ	12/2009	Present

12/2009 → Present

Lpl Financial

Paramus, NJ

Previous Registrations

2003-06-12 → 2009-12-11

Chase Investment Services Corp.

Staten Island, NY

Staten Island, NY
2002-11-21 → 2003-04-08

Quick & Reilly, Inc.

Princeton, NJ
1998-09-08 → 2002-09-25

Chase Investment Services Corp.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-08-27
S63	Uniform Securities Agent State Law Examination	1984-08-06

S65 Uniform Investment Adviser Law Examination

1998-08-27
S63 Uniform Securities Agent State Law Examination

1984-08-06

View on SEC IAPD