DS
David E. Swaney
LPL ENTERPRISE
NEWARK, DE 19713
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CRD#: 5977820
DS
Professional summary
David Ewing Swaney Jr, who also goes by David Ewing Swaney, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Newark, Delaware.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. David has worked at 4 firms and has passed the Series 66, Series 63, Series 7, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Ewing Swaney
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) 03/07/2025 - Prudential Advisors - Comparion - Property and Casualty - I sell auto and homeowners insurance though Comparion Insurance Agency- inv. related - at Newark, DE- start date 10/15/2022- 4hrs/mnth-2hrs during trading 2) 03/07/2025 - DES Insurance Services Inc - Non-Variable Insurance- I sell Medicare Advantage and Medicare Supplement insurance - inv. related - at Newark, DE- start date 05/28/2014-4hrs/mnth-2hrs during trading 3) 02/26/2025 - Independent Contractor- Non-Variable Insurance- I sell Medicare Advantage and Medicare Supplement Insurance- inv. related -at Newark, DE- start date 03/28/2014- 2hrs/mnth-2hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view David Ewing Swaney Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Ewing Swaney Jr'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: 121 Continental Drive Suite 109, Newark, DE 19713RIA
BD
CRD#: 8733
NEWARK, DE
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 121 Continental Drive Suite 109, Newark, DE 19713RIA
BD
CRD#: 8733
NEWARK, DE
Past
July 29, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
North Bethesda, MD
Past
May 25, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
North Bethesda, MD
Past
August 29, 2018 - March 5, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
IRVINE, CA
Past
February 1, 2012 - May 2, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
CORONA, CA
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
California(11/14/2024)
RR
Delaware(11/14/2024)
IAR
Delaware(11/14/2024)
RR
Florida(11/15/2024)
RR
Maryland(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(5/14/2025)
RR
Pennsylvania(11/14/2024)
RR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
