David R. Freiman
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 Randolph Freiman, who also goes by David Freiman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 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
June 2, 2025 - October 3, 2025
LPL FINANCIAL LLC
June 2, 2025 - October 3, 2025
LPL FINANCIAL LLC
May 23, 2017 - March 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2017 - March 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2012 - May 2, 2017
PNC WEALTH MANAGEMENT LLC
December 17, 2012 - May 2, 2017
PNC WEALTH MANAGEMENT LLC
September 19, 2012 - November 16, 2012
SANTANDER SECURITIES LLC
September 19, 2012 - November 16, 2012
SANTANDER SECURITIES LLC
July 24, 2012 - September 19, 2012
LPL FINANCIAL LLC
July 23, 2012 - September 19, 2012
LPL FINANCIAL LLC
August 10, 2011 - July 9, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 2011 - July 9, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
June 24, 2003 - March 9, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 24, 2003 - March 9, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 10, 2002 - December 2, 2002
MORGAN STANLEY DW INC.
January 21, 1999 - December 2, 2002
MORGAN STANLEY DW 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 |
| 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.
