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David Alan Kay

LPl Financial LLC

Dayton, OH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2009-09-08
  • OH RA
    APPROVED
    Since 2009-09-08

Branch Locations

62 East Spring Valley Pike, Dayton, OH 45458-0000 • 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
Mutual Service Corporation West Palm Bech FL 03/1999 Present
Lpl Financial Corporation Dayton OH 09/2009 Present
  • 03/1999 → Present
    Mutual Service Corporation
    West Palm Bech, FL
  • 09/2009 → Present
    Lpl Financial Corporation
    Dayton, OH
Previous Registrations
  • 2002-01-24 → 2009-09-08
    Mutual Service Corporation
    Boston, MA
    Dayton, OH
Other Businesses

1. 11/30/2010: DBA ONLY - THE ADVISORY GROUP - DAYTON, OH

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-11-15
  • S63 Uniform Securities Agent State Law Examination
    1991-11-15

View on SEC IAPD

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Other Investors

KARL N BORGERSEN
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MICHAEL JOSEPH MARTENS
JONATHAN MICHAEL RICHARD
BEN HOWARD FELDMEYER
Austin Phillip Barnard
DAVID ROBERT HOLTZ
PHILIP VINCENT GALLAGHER

Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · Dayton, OH
ONESEVEN · DAYTON, OH
OSAIC WEALTH, INC. · CENTERVILLE, OH
LPL FINANCIAL LLC · CENTERVILLE, OH
IME FINANCIAL, LLC · KETTERING, OH
CETERA INVESTMENT ADVISERS LLC · Kettering, OH
HARBOUR INVESTMENTS, INC. · KETTERING, OH
OSAIC WEALTH, INC. · CENTERVILLE, OH

More in Dayton, OH

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