David A. Bishop
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 Alan Bishop was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2021 - September 29, 2023
LPL FINANCIAL LLC
March 24, 2021 - September 29, 2023
LPL FINANCIAL LLC
July 25, 2019 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
June 27, 2019 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
October 31, 2013 - July 10, 2017
FIFTH THIRD SECURITIES, INC.
October 31, 2013 - July 10, 2017
FIFTH THIRD SECURITIES, INC.
February 15, 2012 - January 23, 2013
PNC WEALTH MANAGEMENT LLC
December 19, 2008 - October 29, 2010
U.S. BANCORP INVESTMENTS, INC.
September 26, 1995 - August 9, 1996
KEYBANC CAPITAL MARKETS INC.
April 4, 1995 - September 15, 1995
THE CHICAGO CORPORATION
August 24, 1993 - April 4, 1995
GRUNTAL & CO., L.L.C.
June 25, 1993 - June 30, 1993
UBS FINANCIAL SERVICES INC.
June 16, 1992 - June 23, 1993
CITIGROUP GLOBAL MARKETS INC.
May 22, 1992 - June 30, 1992
LASALLE FINANCIAL SERVICES, INC.
September 24, 1986 - January 11, 1991
NORTHERN TRUST SECURITIES, INC.
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.
