David A. Willhite
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 Allen Willhite, who also goes by David Alan VIck, David Alan Willhite, David Alan Vick Willhite, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2016 - April 29, 2022
LPL FINANCIAL LLC
August 15, 2016 - April 29, 2022
LPL FINANCIAL LLC
August 11, 2010 - July 21, 2016
NEXT FINANCIAL GROUP, INC.
August 11, 2010 - July 21, 2016
NEXT FINANCIAL GROUP, INC.
April 5, 2010 - April 30, 2010
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
April 1, 2010 - April 30, 2010
J.P. TURNER & COMPANY, L.L.C.
February 4, 2010 - March 30, 2010
GUNNALLEN FINANCIAL, INC
January 29, 2010 - March 30, 2010
GUNNALLEN FINANCIAL, INC
September 28, 2009 - January 13, 2010
SII INVESTMENTS, INC.
November 3, 1999 - October 26, 2009
MAIN STREET SECURITIES, LLC
April 29, 1998 - November 2, 1999
WESTPORT FINANCIAL SERVICES, L.L.C.
September 17, 1993 - April 2, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1988 - September 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1985 - August 9, 1988
UBS FINANCIAL SERVICES INC.
June 6, 1985 - December 23, 1985
ARM SECURITIES CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
