David Allen Finui

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2016-10-14

PA RA
APPROVED

Since 2016-10-14

Branch Locations

216 Franklin St., Johnstown, PA 15901 • 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
S&T Bank	Indiana	PA	06/2008	09/2016
Ameriserv Trust & Financial Services Company	Johnstown	PA	09/2016	Present
Investment Professionals Inc.	San Antonio	TX	06/2008	09/2016
Lpl Financial Llc	Johnstown	PA	10/2016	Present

06/2008 → 09/2016

S&T Bank

Indiana, PA
09/2016 → Present

Ameriserv Trust & Financial Services Company

Johnstown, PA
06/2008 → 09/2016

Investment Professionals Inc.

San Antonio, TX
10/2016 → Present

Lpl Financial Llc

Johnstown, PA

Previous Registrations

2012-03-29 → 2016-09-12

Investment Professionals, Inc.

San Antonio, TX

Indiana, PA

Pittsburgh, PA

Other Businesses

1. 10/14/2016 - AmeriServ Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/12/2024 - AmeriServ Financial Bank d/b/a AmeriServ Wealth and Capital Management - Financial Institution Duty - President - Investment Related - At Reported Business Location(s) - Start Date 10/01/2024 - 160 hours per month/ during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-03-28
S63	Uniform Securities Agent State Law Examination	1985-06-10

S66 Uniform Combined State Law Examination

2012-03-28
S63 Uniform Securities Agent State Law Examination

1985-06-10

Other Names

Dave Finui
David A. Finui

View on SEC IAPD