DF
David Foad
LPL ENTERPRISE
NAPLES, FL
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CRD#: 3165455
DF
Professional summary
David Foad, who also goes by Dave Foad, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Naples, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Foad
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. 11/14/2024 - Khyber Pass Real Estate Properties, LLC - Real Estate Rental - Naples, FL - INV REL - Start Date 09/06/2024 - 10hrs/mth 2. 11/14/2024 - Prudential - Non-Variable Insurance - Naples, FL - INV REL - Start Date 10/24/2022 - 2hrs/mth 3. 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view David Foad's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Foad'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
January 7, 2025 - Present
LPL ENTERPRISE, LLC
Office #2: 4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607RIA
BD
CRD#: 8733
NAPLES, FL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 4010 W. Boy Scout Blvd. Suite 1075, Tampa, FL 33607RIA
BD
CRD#: 8733
NAPLES, FL
Past
November 16, 2022 - November 12, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
TAMPA, FL
Past
October 27, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
TAMPA, FL
Past
May 13, 2021 - October 24, 2022
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
Naples, FL
Past
January 22, 2021 - October 24, 2022
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
Naples, FL
Past
June 4, 2018 - January 22, 2021
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Naples, FL
Past
May 31, 2018 - January 22, 2021
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Naples, FL
Past
September 28, 2017 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NAPLES, FL
Past
September 28, 2017 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPLES, FL
Past
September 19, 2012 - August 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPLES, FL
Past
September 19, 2012 - August 23, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NAPLES, FL
Past
July 19, 2011 - September 12, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALA CYNWYD, PA
Past
July 18, 2011 - September 12, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
Past
May 6, 2003 - July 16, 2010
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
July 24, 2000 - October 3, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, 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
Florida(11/15/2024)
IAR
Florida(1/7/2025)
RR
Georgia(8/6/2025)
RR
Idaho(8/6/2025)
RR
Mississippi(11/14/2024)
RR
Missouri(5/19/2025)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
Exams
State Security Law Exam
State Security Law 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.
