DG
David C. Glidewell
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CRD#: 223133
DG
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 Claris Glidewell, who also goes by Dave Glidewell, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1971. David had worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Glidewell
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. 11/29/2017 - GLIDEWELL INVESTMENTS & INSURANCE - Investment Related - At Reported Business Location(s) - Property and Casualty - start date 1980. 2. 11/29/2017 - G-MEN HOLDINGS LLC - Not Investment Related - 1750 South Avenue West, Mizzoula, MT 59801 - Real Estate Rental - CO-OWNER OF COMMERCIAL REAL ESTATE - start date 01/2012 - 1% time spent per month. 3. 11/29/2017 - SELECTED AUTO OF MONTANA - Not Investment Related - 4053 Wippoorwill Drive, Mizzoula, MT 59808 - Other - Owner - start date 01/2012 - 6% time spent per month. 4. 3/19/2018 - GiiG Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/01/2015 - 160 Hours Per Month/120 Hours During Securities Trading. 5. 03/11/2022 - GiiG - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/10/2022 - 200 Hours Per Month/140 Hours During Securities Trading
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®
NoneExperience
Past
November 29, 2017 - January 27, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
Missoula, MT
Past
November 29, 2017 - October 24, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
Missoula, MT
Past
April 30, 2015 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
Missoula, MT
Past
April 30, 2015 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
Missoula, MT
Past
January 3, 2000 - April 30, 2015
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
MISSOULA, MT
Past
September 27, 1999 - April 30, 2015
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
MISSOULA, MT
Past
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
March 24, 1971 - February 18, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 24, 1971 - February 18, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/18/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
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
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.
