David R Gray

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
IL	RA	APPROVED	2024-04-09

IL RA
APPROVED

Since 2024-04-09

Branch Locations

East Peoria, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Chapin Davis	Baltimore	MD	05/2015	02/2024
Lpl Financial Llc	East Peoria	IL	02/2024	Present

05/2015 → 02/2024

Chapin Davis

Baltimore, MD
02/2024 → Present

Lpl Financial Llc

East Peoria, IL

Previous Registrations

2015-09-01 → 2024-03-06

Chapin, Davis

Peoria, IL
2009-07-28 → 2015-03-04

Equitable Advisors, Llc

Peoria, IL

Peoria , IL

Other Businesses

1) 02/13/2024 - Non-Variable Insurance - Selling: Whole Life Insurance, Fixed Annuities - Chubb - IL 61611 - Investment related - 5 Hours per month - Start date: 02/15/2024.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-10-15
S63	Uniform Securities Agent State Law Examination	1993-03-15

S65 Uniform Investment Adviser Law Examination

1999-10-15
S63 Uniform Securities Agent State Law Examination

1993-03-15

View on SEC IAPD