David Allan Anderson

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	2025-12-03
OH	RA	APPROVED	2025-11-06
CO	RA	APPROVED	2023-05-17

FL RA
APPROVED

Since 2025-12-03
OH RA
APPROVED

Since 2025-11-06
CO RA
APPROVED

Since 2023-05-17

Branch Locations

Lake Wales, FL • United States

Lime, OH • United States

6000 E Evans Ave Ste 2-200, Denver, CO 80222 • 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
The State Bank And Trust Company	Defiance	OH	04/2005	05/2023
Lpl Financial Llc	Denver	CO	05/2023	Present

04/2005 → 05/2023

The State Bank And Trust Company

Defiance, OH
05/2023 → Present

Lpl Financial Llc

Denver, CO

Other Businesses

1) 05/04/2023 - Upstream Investment Partners- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- start date 5/2023- 160hrs/mth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-02-24

S65 Uniform Investment Adviser Law Examination

2023-02-24

View on SEC IAPD