David M. Mckeehan
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 Marc Mckeehan, who also goes by David Mark Mckeehan, Marc Mckeehan, Mark Mckeehan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 11 firms and has passed the Series 65, Series 63 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
April 20, 2011 - January 15, 2014
LPL FINANCIAL LLC
April 20, 2011 - January 15, 2014
LPL FINANCIAL LLC
December 15, 2010 - April 29, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
December 15, 2010 - April 29, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 21, 2008 - November 30, 2010
INTL ADVISORY CONSULTANTS INC.
July 21, 2008 - November 30, 2010
STONEX SECURITIES INC.
March 27, 2008 - June 11, 2008
GUARDIAN INVESTOR SERVICES LLC
April 19, 2007 - February 15, 2008
COREBRIDGE CAPITAL SERVICES, INC.
January 14, 2005 - April 11, 2007
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 30, 2002 - January 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 2000 - January 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 19, 1999 - November 20, 2000
BANK UNITED SECURITIES CORP.
March 18, 1998 - April 19, 1999
UBS FINANCIAL SERVICES INC.
December 19, 1997 - March 9, 1998
FISERV INVESTOR SERVICES, 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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
