DW
David J. Wenthold
LPL ENTERPRISE
ST. LOUIS PARK, MN 55426-0134
Some features on this profile are disabled
CRD#: 7286717
DW
Professional summary
David James Wenthold, who also goes by Dave James Wenthold, David James Wenthold, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in St. Louis Park, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. David has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave James Wenthold | David James Wenthold
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.
PARK MEADOWS ("HOA") HOME OWNERS ASSOCIATION, VICE PRESIDENT. NON-PROFIT ORGANIZATION POSITION: Vice President of HOA NATURE: Home Owners Association INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 2091 Meadowlark Ln, Shakopee MN 55379, United States DESCRIPTION: Uphold the Bylaws, Rules & Regulations, Declaration & Amendments. Attend regular HOA Association Board meetings; facilitate review & collaboration of association documents & association contracts, plus neighbor visits & communications. No investments or handling of money. WENTHOLD REVOCABLE TRUST, POAAND EXECUTOR OF FAMILY ESTATE POSITION: Wenthold Revocable Trust, POA and Executor of Family Estate NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2011 ADDRESS: 8110 Highwood Dr., Unit #L509, Bloomington MN 55438, United States DESCRIPTION: Typical POA trustee responsibilities which may include check writing authority for Kathleen Wenthold (mother). SACS DADS PRESIDENT, PHILANTHROPIC FUNDRAISING FOR THE SHAKOPEE AREA CATHOLIC SCHOOL A 501(C)3 ORGANIZATION POSITION: SACS Dads President NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 2700 East 17th Avenue, Shakopee MN 55379, United States DESCRIPTION: Volunteer and fundraising for school. No investing or handling of money.
CRS (Client Relationship Summary) - RIA
Click below to view David James Wenthold's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David James Wenthold'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: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Past
December 17, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ST. LOUIS PARK, MN
Past
December 17, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS PARK, MN
Past
January 11, 2021 - June 14, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MINNEAPOLIS, MN
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
Arizona(1/11/2025)
RR
Florida(11/15/2024)
RR
Minnesota(11/14/2024)
IAR
Minnesota(11/14/2024)
RR
Mississippi(7/17/2025)
RR
Nebraska(7/17/2025)
RR
Ohio(1/7/2025)
RR
South Dakota(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Washington(11/14/2024)
RR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2021
General Securities Representative ExaminationGeneral 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.
