David Edward Sherlock

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 10/2020
  Wells Fargo Advisors Financial Network Llc
  Hauppauge, NY
• 11/2020 → Present
  Lpl Financial
  Frisco, CO

Previous Registrations

• 2009-04-20 → 2020-11-19
  Wells Fargo Advisors Financial Network, Llc
  Bohemia, NY
  Frisco, CO
• 2004-10-20 → 2009-04-21
  Banc Of America Investment Services, Inc.
  Riverhead, NY
  Riverhead, NY
  Port Jefferson, NY
  Melville, NY
• 2002-09-05 → 2004-10-20
  Quick & Reilly, Inc.
  Islandia, NY

Other Businesses

1)2018 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - DIVIDE ASSET MANAGEMENT LLC - 1HR/MO 0HRS DURING TRADING - FRISCO, CO 80443 2)2020 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - BLUE RIVER WEALTH STRATEGIES - INVESTMENT RELATED - FRISCO, CO 80443

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-09-25
• S63 Uniform Securities Agent State Law Examination
  1999-07-07

Other Names

• David Sherlock