David R. Broder

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CRD#: 1752099

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 Robert Broder was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1988. David had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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- 08/2019 / HAS Wealth Management and Insurance Solutions / DBA for LPL Business (entity for LPL business) / INV RELATED / MERIDEN, CT 2- 08/2019 / HAS Insurance Solutions / DBA for LPL Business (entity for LPL business) / INV RELATED / MERIDEN, CT 3- 08/2019 / HAS Insurance Solutions / Non-Variable Insurance / INV RELATED / MERIDEN, CT 4- 08/2019 / HAS Insurance and Wealth Management / DBA for LPL Business (entity for LPL business) / INV RELATED / MERIDEN, CT

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 2022 - February 22, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

MERIDEN, CT

Past

November 21, 2022 - February 22, 2024

LPL FINANCIAL LLC

CRD#: 6413

MERIDEN, CT

Past

March 9, 2021 - September 7, 2022

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

New City, NY

Past

March 9, 2021 - September 7, 2022

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

New City, NY

Past

September 6, 2016 - March 16, 2021

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Shelton, CT

Past

September 6, 2016 - March 16, 2021

LIFEMARK SECURITIES CORP.

CRD#: 16204

Shelton, CT

Past

February 14, 2011 - June 14, 2016

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Shelton, CT

Past

February 10, 2011 - June 14, 2016

LIFEMARK SECURITIES CORP.

CRD#: 16204

Shelton, CT

Past

June 30, 2010 - February 10, 2011

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

NEW ROCHELLE, NY

Past

October 15, 2008 - February 10, 2011

WORLD GROUP SECURITIES, INC.

CRD#: 114473

NEW ROCHELLE, NY

Past

December 20, 2006 - January 3, 2007

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

July 8, 2004 - November 8, 2006

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

September 2, 2003 - February 24, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 6, 1998 - December 20, 2002

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

April 2, 1997 - March 15, 1998

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

October 10, 1996 - January 9, 1997

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

May 1, 1995 - December 31, 1995

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

January 19, 1993 - May 16, 1995

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

September 19, 1988 - February 21, 1992

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

Past

June 7, 1988 - September 2, 1988

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

June 7, 1988 - September 2, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

January 28, 1988 - April 9, 1988

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

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".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/24/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/27/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

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	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

David R. Broder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES CORP.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

COREBRIDGE CAPITAL SERVICES, INC.

COREBRIDGE CAPITAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TRANSAMERICA CAPITAL, LLC

EQUITABLE DISTRIBUTORS, LLC

DIRECTED SERVICES LLC

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

MANULIFE WOOD LOGAN, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

TRANSAMERICA CAPITAL, LLC

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2009

Series 63

Date: 10/9/2003

SIE

Date: 10/1/2018

Series 6

Date: 1/27/1988

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

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