DH
David Holmes
LPL ENTERPRISE
ORANGE, CA 92868
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CRD#: 6857083
DH
Professional summary
David Holmes, who also goes by David A Holmes, David Anthony Holmes, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Orange, California.
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 7 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Holmes | David Anthony Holmes
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. 03/03/2025 - Anthem Blue Cross - Non-Variable Insurance - Inv Related - Costa Mesa, CA - 12/18/2018 - 80hrs/MTH 2. 03/03/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Newport Beach, CA - 02/27/2025 - 160hrs/MTH 3. 03/03/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Newport Beach, CA - 02/27/2025 - 160hrs/MTH
CRS (Client Relationship Summary) - RIA
Click below to view David Holmes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Holmes'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
March 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 600 City Parkway West Suite 210, Orange, CA 92868RIA
BD
CRD#: 8733
ORANGE, CA
Current
March 10, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 600 City Parkway West Suite 210, Orange, CA 92868RIA
BD
CRD#: 8733
ORANGE, CA
Past
February 24, 2023 - September 15, 2023
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Irvine, CA
Past
August 23, 2019 - December 10, 2020
INNOVATION PARTNERS LLC
RIA
CRD#: 146344
Newport Beach, CA
Past
August 23, 2019 - December 10, 2020
INNOVATION PARTNERS LLC
BD
CRD#: 146344
CHARLOTTE, NC
Past
January 2, 2019 - July 3, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Westlake Village, CA
Past
November 29, 2018 - July 3, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Westlake Village, CA
Past
April 17, 2018 - October 19, 2018
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
January 5, 2018 - February 13, 2018
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
October 31, 2017 - November 2, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
LA JOLLA, 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
IAR
California(3/10/2025)
RR
California(3/19/2025)
RR
Florida(10/24/2025)
RR
Hawaii(8/8/2025)
RR
Nevada(9/24/2025)
RR
Texas(8/7/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/3/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/3/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
