DG
David P. Gilliam
DAVID P. GILLIAM & ASSOCIATES
Muncie, IN 47303
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CRD#: 1461865
DG
Professional summary
David Paul Gilliam is a registered financial advisor currently at DAVID P. GILLIAM & ASSOCIATES, INC. located in Muncie, Indiana and LPL FINANCIAL LLC located in Muncie, Indiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 6 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 07/30/08 - DBA DAVID P. GILLIAM & ASSOCIATES. 2. 01/07/2013: DKG PROPERTIES / REAL ESTATE RENTAL / 2 RENTAL UNITS - MY OWN OFFICE THAT I MAINTAIN AS AN LPL BRANCH AND RENT FROM MYSELF. / TIME SPENT 1% 3. 04/07/2017 -David P. Gilliam & Associates, Inc. -Investment related- At reported business location(s) - Registered Investment Advisor Hybrid -We will be offering Financial Plans on an hourly basis
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Gilliam's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 3, 2017 - Present
DAVID P. GILLIAM & ASSOCIATES, INC.
Office #1: 2600 West Jackson, Muncie, IN 47303RIA
CRD#: 285515
Muncie, IN
Current
February 11, 1994 - Present
LPL FINANCIAL LLC
Office #1: 2600 West Jackson St, Muncie, IN 47303RIA
BD
CRD#: 6413
Muncie, IN
Past
August 22, 2018 - December 22, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 15, 1996 - July 20, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
September 19, 1990 - February 15, 1994
RAFFENSPERGER, HUGHES & CO., INC.
BD
CRD#: 699
INDIANAPOLIS, IN
Past
September 15, 1989 - October 3, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 4, 1988 - September 16, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
June 24, 1986 - August 25, 1988
CITY SECURITIES CORPORATION
BD
CRD#: 1459
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DP
DAVID P. GILLIAM & ASSOCIATES, INC.
DAVID P. GILLIAM & ASSOCIATES, INC.
CRD#: 285515 / SEC#: 801-123723
RIA
Registered Investment Advisory firm - (4/19/2022 Approved)Florida
Registered Investment Advisory firm - (8/31/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/6/2022 Terminated)Louisiana
Registered Investment Advisory firm - (8/31/2022 Terminated)Texas
Registered Investment Advisory firm - (8/31/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/9/1999)
RR
California(10/21/2016)
RR
Colorado(4/23/2015)
RR
Florida(6/9/1995)
IAR
Florida(6/19/2019)
RR
Idaho(6/29/2011)
RR
Illinois(6/26/2012)
RR
Indiana(2/11/1994)
IAR
Indiana(4/3/2017)
RR
Kentucky(1/3/2005)
RR
Louisiana(2/13/2013)
IAR
Louisiana(3/1/2019)
RR
Michigan(4/5/1994)
RR
Missouri(9/21/2015)
RR
Nevada(8/2/2016)
RR
New Mexico(1/9/2012)
RR
North Carolina(1/19/2007)
RR
Ohio(9/12/1994)
RR
Oklahoma(2/23/2010)
RR
South Carolina(7/27/2021)
RR
Tennessee(4/19/2007)
RR
Texas(8/22/2018)
IAR
Texas(4/29/2019)
RR
Utah(8/21/2024)
RR
Virginia(4/24/2024)
RR
Washington(1/6/2003)
RR
Wisconsin(1/19/2007)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DAVID P. GILLIAM & ASSOCIATES, INC.
DAVID P. GILLIAM & ASSOCIATES, INC.
CRD#: 285515 / SEC#: 801-123723
RIA
Registered Investment Advisory firm - (4/19/2022 Approved)Florida
Registered Investment Advisory firm - (8/31/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/6/2022 Terminated)Louisiana
Registered Investment Advisory firm - (8/31/2022 Terminated)Texas
Registered Investment Advisory firm - (8/31/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2600 West Jackson, Muncie, IN 47303
Mailing Address
Phone number
(765) 281-0012
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 529 |
| AUM (Assets Under Management) | $ 157,740,043 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DAVID P. GILLIAM & ASSOCIATES, INC.
CRD#: 285515Muncie, IN 47303TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
