David M. Murdoch

LIND CAPITAL PARTNERS

Northfield, IL 60093

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CRD#: 1532875

Professional summary

David Mansfield Murdoch JR, who also goes by David Mansfield Murdoch, is a registered financial advisor currently at LIND CAPITAL PARTNERS located in Northfield, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Mansfield Murdoch

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mansfield Murdoch JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 24, 2016 - Present

LIND CAPITAL PARTNERS

Office #1: One Northfield Plaza, Suite 222, Northfield, IL 60093

RIA

CRD#: 165810

Northfield, IL

Past

April 24, 1999 - May 9, 2008

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

CHICAGO, IL

Past

September 16, 1987 - September 15, 1997

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

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".

LIND CAPITAL PARTNERS

LIND CAPITAL PARTNERS | LIND CAPITAL PARTNERS, LLC

CRD#: 165810 / SEC#: 801-77824

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/24/2016)

IAR

Texas
(9/3/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Current Firm

LIND CAPITAL PARTNERS

LIND CAPITAL PARTNERS | LIND CAPITAL PARTNERS, LLC

CRD#: 165810 / SEC#: 801-77824

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

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Contact information

Main Address

500 Davis Center, Suite 1004, Evanston, IL 60201

Mailing Address

Phone number

(312) 878-3830

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIND CAPITAL PARTNERS FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 167,064,704

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.

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David M. Murdoch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mansfield Murdoch JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIND CAPITAL PARTNERS

NATWEST MARKETS SECURITIES INC.

NOMURA SECURITIES INTERNATIONAL, INC.

Primary Firm SEC Registration

LIND CAPITAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2015

Series 63

Date: 9/29/1994

Series 7

Date: 9/19/1987

Current Firm

LIND CAPITAL PARTNERS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIND CAPITAL PARTNERS

TRUST BUT VERIFY

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