David E. Kimbler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Earl Kimbler was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2022 - October 18, 2023
LPL FINANCIAL LLC
August 10, 2022 - October 18, 2023
LPL FINANCIAL LLC
November 6, 2020 - August 15, 2022
SECURITIES AMERICA ADVISORS, INC.
November 6, 2020 - August 15, 2022
ARBOR POINT ADVISORS
November 6, 2020 - August 15, 2022
SECURITIES AMERICA, INC.
July 22, 2008 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
July 22, 2008 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
September 27, 2007 - August 20, 2008
SII INVESTMENTS, INC.
September 27, 2007 - August 20, 2008
SII INVESTMENTS, INC.
August 16, 2004 - October 2, 2007
ON INVESTMENT MANAGEMENT CO
August 16, 2004 - October 2, 2007
THE O.N. EQUITY SALES COMPANY
October 14, 2003 - August 24, 2004
PRUCO SECURITIES, LLC.
November 12, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 12, 1990 - August 24, 2004
PRUCO SECURITIES, LLC.
March 9, 1987 - February 15, 1989
INVESTMENT BROKERS OF AMERICA
July 8, 1983 - July 30, 1985
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
