David Monroe Wray

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
OK	RA	APPROVED	2022-12-02
TX	RA	APPROVED	2022-12-02

OK RA
APPROVED

Since 2022-12-02
TX RA
APPROVED

Since 2022-12-02

Branch Locations

Edmond, OK • 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
David Wray	Edmond	OK	12/1991	Present
Securities America, Inc.	Edmond	OK	10/1996	12/2022
Securities America Advisor, Inc.	Edmond	OK	09/1997	12/2022
Lpl Financial Llc	Edmond	OK	12/2022	Present

12/1991 → Present

David Wray

Edmond, OK
10/1996 → 12/2022

Securities America, Inc.

Edmond, OK
09/1997 → 12/2022

Securities America Advisor, Inc.

Edmond, OK
12/2022 → Present

Lpl Financial Llc

Edmond, OK

Previous Registrations

1997-09-15 → 2022-12-05

Securities America Advisors, Inc.

Edmond, OK

Other Businesses

1) 11/2022- Financial Fitness Group- DBA for LPL Business (entity for LPL business)- inv. related- Edmond, OK 2) 11/2022- Non-Variable Insurance- Agent selling Fixed Annuities - inv. related- Edmond, OK- start date 12/12/2022- 5hrs/mth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-11
S63	Uniform Securities Agent State Law Examination	1986-02-18

S65 Uniform Investment Adviser Law Examination

1997-08-11
S63 Uniform Securities Agent State Law Examination

1986-02-18

Other Names

David Monroe Wray

View on SEC IAPD