David S. Caryl
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 Scott Caryl was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2023 - May 30, 2025
LPL FINANCIAL LLC
June 8, 2023 - May 30, 2025
LPL FINANCIAL LLC
October 4, 2021 - January 5, 2023
CADARET, GRANT & CO., INC.
October 4, 2021 - January 5, 2023
CADARET, GRANT & CO., INC.
January 30, 2015 - November 1, 2021
MORGAN STANLEY
January 28, 2015 - November 1, 2021
MORGAN STANLEY
March 5, 2014 - January 12, 2015
MSI FINANCIAL SERVICES, INC.
March 3, 2014 - January 12, 2015
MSI FINANCIAL SERVICES, INC.
January 21, 2009 - March 14, 2014
EQUITABLE ADVISORS, LLC
July 16, 2008 - March 14, 2014
EQUITABLE ADVISORS, LLC
February 27, 2008 - June 20, 2008
EQUITABLE ADVISORS, LLC
August 11, 2005 - September 20, 2007
CHASE INVESTMENT SERVICES CORP.
August 11, 2005 - September 20, 2007
CHASE INVESTMENT SERVICES CORP.
January 10, 2005 - May 31, 2005
IDS LIFE INSURANCE COMPANY
January 10, 2005 - May 31, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
December 3, 2004 - December 13, 2004
CITICORP INVESTMENT SERVICES
January 20, 2004 - December 13, 2004
CITICORP INVESTMENT SERVICES
August 15, 2001 - January 13, 2004
MORGAN STANLEY DW INC.
September 14, 1999 - February 21, 2001
CITICORP INVESTMENT SERVICES
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.
