DM
David Meeks
LPL ENTERPRISE
MERCER ISLAND, WA 98040
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CRD#: 6783691
DM
David MeeksLPL ENTERPRISE
Professional summary
David Meeks, who also goes by David Piotr Meeks, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Mercer Island, Washington.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. David has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
David Piotr Meeks
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. 04/29/2025 - Profectus Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - Post Falls, ID - Start Date 05/05/2025 - 40hrs/MTH 2. 04/29/2025- David Meeks-Financial Professional-Non-Variable Insurance/Insurance Agency-Inv related-At Sherwood, OR-Start date 04/29/2025-160hrs/mth-160hrs/mth during trading 3. 04/29/2025-Prudential Advisors-Financial Professional-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 04/29/2025-160hrs/mth-160hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view David Meeks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Meeks'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
May 5, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 7525 Se 24th Street Suite 110, Mercer Island, WA 98040RIA
BD
CRD#: 8733
MERCER ISLAND, WA
Current
May 5, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 7525 Se 24th Street Suite 110, Mercer Island, WA 98040RIA
BD
CRD#: 8733
MERCER ISLAND, WA
Past
September 15, 2023 - March 19, 2025
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
PORTLAND, OR
Past
June 29, 2023 - March 19, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PORTLAND, OR
Past
July 2, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PORTLAND, OR
Past
July 2, 2019 - September 19, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PORTLAND, OR
Past
November 3, 2017 - June 12, 2018
EDWARD JONES
RIA
CRD#: 250
WEST LINN, OR
Past
June 14, 2017 - June 12, 2018
EDWARD JONES
BD
CRD#: 250
WEST LINN, OR
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(8/19/2025)
IAR
California(8/19/2025)
RR
Idaho(5/5/2025)
RR
Kansas(7/30/2025)
RR
Oregon(5/5/2025)
IAR
Oregon(5/5/2025)
RR
Washington(5/5/2025)
IAR
Washington(5/5/2025)
Exams
What does exam status mean?
State Security Law 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
5,215
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 | |
| EVANGELIOU, KIRIAKOS ANDREAS | SVP, CHIEF COMPLIANCE OFFICER | 2496177 |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
Regulatory assets under management
| Total Number of Accounts | 139,192 |
| AUM (Assets Under Management) | $ 24,939,385,373 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | ||
| 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.
