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David Chalfant Toohey

LPl Financial LLC

St. Louis Park, MN

CRD 1693910

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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

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-23
  • MN RA
    APPROVED
    Since 2013-12-23

Branch Locations

5775 Wayzata Blvd Suite 700, St. Louis Park, MN 55416 • 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
Lpl Financial Corporation Plymouth MN 09/2009 Present
  • 09/2009 → Present
    Lpl Financial Corporation
    Plymouth, MN
Other Businesses

1. 8/12/10 - DBA ONLY/INVESTORS FINANCIAL GROUP, INC.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-06-25
  • S63 Uniform Securities Agent State Law Examination
    1987-06-25
Designations
  • Certified Financial Planner
Other Names
  • David Chalfant Toohey

View on SEC IAPD

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