David John Hughes

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

• 07/2016 → 01/2023
  Nbc Securities Inc
  Agoura Hills, CA
• 01/2023 → 09/2023
  Sagepoint Financial, Inc.
  Thousand Oaks, CA
• 01/2023 → 06/2025
  The Ameriflex Group
  Las Vegas, NV
• 09/2023 → 06/2025
  Osaic Wealth, Inc.
  Thousand Oaks, CA
• 06/2025 → Present
  Lpl Financial Llc
  Thousand Oaks, CA

Previous Registrations

• 2023-01-05 → 2025-06-11
  The Ameriflex Group
  Thousand Oaks, CA
• 2016-07-25 → 2023-01-05
  Lanark Financial, Inc.
  Agoura Hills, CA
  Tampa, FL
  Agoura Hills, CA
  Summit, NJ
  Thousand Oaks, CA
• 2015-06-05 → 2016-07-21
  Kestra Private Wealth Services, Llc
  Woodlandhills, CA
  Austin, TX
• 2009-04-09 → 2015-06-05
  Wells Fargo Clearing Services, Llc
  Westlake Village, CA
  Woodland Hills, CA
• 2001-01-25 → 2009-04-23
  Citigroup Global Markets Inc.
  Woodland Hills, CA
  Woodland Hills, CA

Other Businesses

1)06/12/2025- DJH Financial Services Inc - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start Date:04/20/2015 - 40 Hrs/Mth - 40 Hrs During Trading. 2) 10/02/2025 - Real Estate Rental - Investment Related - Oxnard Ca - Start Date:10/01/2025 - 1 Hrs/Mth - 0 Hrs During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-05-11
• S63 Uniform Securities Agent State Law Examination
  1994-05-26