David Del Rio

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CRD#: 4771963

Professional summary

David Del Rio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, David had worked at 6 firms, which includes LPL FINANCIAL LLC, TRUIST ADVISORY SERVICES INC., TRUIST INVESTMENT SERVICES INC., IFMG SECURITIES INC., AMSOUTH INVESTMENT SERVICES INC., INVEST FINANCIAL CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

Chico Del Rio

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 28, 2017 - April 11, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

August 25, 2017 - April 11, 2018

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

August 24, 2016 - August 28, 2017

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CAPE CORAL, FL

Past

June 19, 2014 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

FORT MYERS, FL

Past

March 10, 2014 - August 28, 2017

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

FORT MYERS, FL

Past

March 4, 2008 - February 11, 2014

LPL FINANCIAL LLC

CRD#: 6413

BELLMORE, NY

Past

March 6, 2006 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

NAPLES, FL

Past

September 2, 2005 - January 7, 2006

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

NAPLES, FL

Past

July 1, 2004 - August 30, 2004

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/16/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

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

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

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	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

Red Flags

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Firm Stability Insights

David Del Rio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

AMSOUTH INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/16/2014

Series 63

Date: 4/19/2004

SIE

Date: 4/11/2018

Series 7

Date: 11/6/2007

Series 6

Date: 6/30/2004

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

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