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David Bryan Austin

LPl Financial LLC

High Point, NC

CRD 6944292

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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

AuthorityCategoryStatusDate
NC RA APPROVED 2020-06-08
  • NC RA
    APPROVED
    Since 2020-06-08

Branch Locations

High Point, NC • 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
OrganizationCityStateFromTo
Edward Jones St Louis MO 06/2018 10/2019
The Ups Store High Point NC 08/1999 06/2018
Signing Carolina Inc High Point NC 01/2016 01/2018
Lpl Financial Llc High Point NC 10/2019 Present
  • 06/2018 → 10/2019
    Edward Jones
    St Louis, MO
  • 08/1999 → 06/2018
    The Ups Store
    High Point, NC
  • 01/2016 → 01/2018
    Signing Carolina Inc
    High Point, NC
  • 10/2019 → Present
    Lpl Financial Llc
    High Point, NC
Previous Registrations
  • 2018-10-01 → 2019-10-22
    Edward Jones
    Greensboro, NC
    St Louis, MO
    Greensboro, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-28
  • S66 Uniform Combined State Law Examination
    2018-09-28
Other Names
  • David Austin
  • D Bryan Austin
  • Bryan Austin
  • David B Austin

View on SEC IAPD

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