DY
David A. Yaffee
LPL ENTERPRISE
SHELTON, CT 06484
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CRD#: 4251517
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Professional summary
David A Yaffee, who also goes by David A Yaffee, David Aaron Yaffee, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Shelton, Connecticut.
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 10 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Yaffee | David Aaron Yaffee
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.
2) 10/05/2021 - current 36 Watson Road Vernon CT 06066, POA for Mother, Pay bills and have POA on her savings and checking account; 2 hours per month; non-inv rel YAFFEE & ASSOCIATES, LLC POSITION: Owner NATURE: Sales and Training INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: 36 Watson Road, Vernon CT 06066, United States DESCRIPTION: Musical Instruments Sales and Training
CRS (Client Relationship Summary) - RIA
Click below to view David A Yaffee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David A Yaffee'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: 1 Corporate Drive Suite 205, Shelton, CT 06484RIA
BD
CRD#: 8733
SHELTON, CT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484RIA
BD
CRD#: 8733
SHELTON, CT
Past
January 3, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Glastonbury, CT
Past
January 3, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Glastonbury, CT
Past
April 27, 2020 - January 18, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLOOMFIELD, CT
Past
April 27, 2020 - January 18, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BLOOMFIELD, CT
Past
January 25, 2018 - April 27, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Vernon, CT
Past
January 22, 2018 - April 27, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Vernon, CT
Past
September 28, 2012 - October 28, 2015
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
SOUTH WINDSOR, CT
Past
September 28, 2012 - October 28, 2015
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
SOUTH WINDSOR, CT
Past
August 5, 2009 - October 1, 2012
PEOPLE'S SECURITIES, INC.
RIA
CRD#: 13704
HARTFORD, CT
Past
August 5, 2009 - October 1, 2012
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
HARTFORD, CT
Past
April 12, 2007 - July 28, 2009
CONNECTICUT INVESTMENT MANAGEMENT
RIA
CRD#: 110462
VERNON, CT
Past
February 14, 2006 - April 5, 2007
NEWALLIANCE INVESTMENTS, INC.
RIA
CRD#: 126880
VERNON, CT
Past
February 14, 2006 - July 28, 2009
NEWALLIANCE INVESTMENTS, INC.
BD
CRD#: 126880
VERNON, CT
Past
August 11, 2004 - February 13, 2006
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
CROMWELL, CT
Past
August 11, 2004 - February 13, 2006
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
October 31, 2002 - July 30, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
January 4, 2001 - November 21, 2002
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
FARMINGTON, CT
Past
October 6, 2000 - November 21, 2002
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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
Connecticut(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
Florida(11/18/2024)
RR
Massachusetts(11/14/2024)
RR
South Carolina(1/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Shelton, CT 06484TRUST BUT VERIFY
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