DE
David A. Emring
LPL ENTERPRISE
Eureka, MO 63025
Some features on this profile are disabled
CRD#: 2850007
DE
Professional summary
David Allen Emring, who also goes by David A Emring, David Emring, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Eureka, Missouri.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Emring | David Emring
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) 03/07/2025 - Anchor Rides- Other- I am a charter captain for Anchor Rides and do my charters on weekends.- not inv. related - at Saint Petersburg, FL- start date 11/14/2024 - 8hrs/mnth-0hrs during trading 2)02/25/2025 - Focus Financial Services, Inc.-DBA for LPL Business (entity for LPL business)-inv. related- at reported business location(s)- start date 11/14/2024- 160hrs/mnth-120hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Emring's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Allen Emring'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 107 S Central Ave 2nd Floor, Eureka, MO 63025RIA
BD
CRD#: 8733
Eureka, MO
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 107 S Central Ave 2nd Floor, Eureka, MO 63025RIA
BD
CRD#: 8733
Eureka, MO
Past
September 16, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
St. Louis, MO
Past
September 13, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
St. Louis, MO
Past
August 2, 2023 - June 6, 2024
FINANCIAL & TAX ARCHITECTS, LLC
RIA
CRD#: 119169
ST. LOUIS, MO
Past
September 17, 2014 - November 17, 2016
FIRST CLEARING, LLC
BD
CRD#: 17344
ST. LOUIS, MO
Past
September 17, 2014 - July 28, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 16, 2014 - July 28, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
June 15, 2011 - January 24, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ST. LOUIS, MO
Past
June 15, 2011 - January 24, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
December 3, 2010 - January 24, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 19, 2010 - November 16, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
KIRKWOOD, MO
Past
July 19, 2010 - November 16, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
KIRKWOOD, MO
Past
April 6, 2007 - June 28, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHESTERFIELD, MO
Past
March 8, 2007 - June 28, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHESTERFIELD, MO
Past
June 18, 1999 - July 27, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 12, 1997 - June 24, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 9, 1997 - June 9, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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.
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
Illinois(11/14/2024)
RR
Kansas(12/5/2024)
RR
Missouri(11/14/2024)
IAR
Missouri(11/14/2024)
RR
Ohio(5/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
