CG
Chad M. Gilliam
DAVID P. GILLIAM & ASSOCIATES
Muncie, IN 47303
Some features on this profile are disabled
CRD#: 4867407
CG
Professional summary
Chad M Gilliam is a registered financial advisor currently at DAVID P. GILLIAM & ASSOCIATES, INC. located in Muncie, Indiana and LPL FINANCIAL LLC located in Muncie, Indiana.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Chad has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 5/24/2010 - David P. Gilliam & Associates, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/5/2017 - David P Gilliam & Associates, Inc. - DBA: David P Gilliam & Associates - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 04/07/2017 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through David P Gilliam & Associates, an independent investment advisor firm. I started this business activity in December 2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 7/5/2017 - David P Gilliam & Associates. Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 04/07/2017 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through David P Gilliam & Associates, an independent investment advisor firm. I started this business activity in December 2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 10/09/2025 - Real Estate Rental - Investment Related - Richmond IN - Start Date:10/01/2025 - 5 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Chad M Gilliam'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
April 3, 2017 - Present
DAVID P. GILLIAM & ASSOCIATES, INC.
Office #1: 2600 West Jackson, Muncie, IN 47303RIA
CRD#: 285515
Muncie, IN
Current
January 4, 2010 - Present
LPL FINANCIAL LLC
Office #1: 2600 West Jackson St, Muncie, IN 47303RIA
BD
CRD#: 6413
Muncie, IN
Past
November 3, 2011 - July 20, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
November 16, 2007 - November 4, 2008
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
May 17, 2007 - August 29, 2007
RESOURCE SECURITIES LLC
BD
CRD#: 133022
PHILADELPHIA, PA
Past
August 21, 2006 - April 2, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
PHILADELPHIA, PA
Past
May 11, 2005 - July 10, 2006
FORESIDE PLAZA DISTRIBUTORS, LLC
BD
CRD#: 103739
ALEXANDRIA, VA
Past
January 27, 2005 - May 3, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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".
DP
DAVID P. GILLIAM & ASSOCIATES, INC.
DAVID P. GILLIAM & ASSOCIATES, INC.
CRD#: 285515 / SEC#: 801-123723
RIA
Registered Investment Advisory firm - (4/19/2022 Approved)Florida
Registered Investment Advisory firm - (8/31/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/6/2022 Terminated)Louisiana
Registered Investment Advisory firm - (8/31/2022 Terminated)Texas
Registered Investment Advisory firm - (8/31/2022 Terminated)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
California(8/30/2013)
RR
Florida(4/6/2015)
IAR
Florida(6/27/2019)
RR
Illinois(4/15/2025)
RR
Indiana(1/4/2010)
IAR
Indiana(4/3/2017)
RR
Kentucky(1/23/2024)
RR
Ohio(8/9/2013)
RR
Utah(8/21/2024)
RR
Wisconsin(7/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DAVID P. GILLIAM & ASSOCIATES, INC.
DAVID P. GILLIAM & ASSOCIATES, INC.
CRD#: 285515 / SEC#: 801-123723
RIA
Registered Investment Advisory firm - (4/19/2022 Approved)Florida
Registered Investment Advisory firm - (8/31/2022 Terminated)Indiana
Registered Investment Advisory firm - (9/6/2022 Terminated)Louisiana
Registered Investment Advisory firm - (8/31/2022 Terminated)Texas
Registered Investment Advisory firm - (8/31/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2600 West Jackson, Muncie, IN 47303
Mailing Address
Phone number
(765) 281-0012
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 529 |
| AUM (Assets Under Management) | $ 157,740,043 |
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
DAVID P. GILLIAM & ASSOCIATES, INC.
CRD#: 285515Muncie, IN 47303TRUST BUT VERIFY
Monitor Chad Gilliam
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
