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David John Zauner

LPL Enterprise, LLC

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About David John Zauner

David John Zauner is a financial advisor with over 15 years of experience. David is currently registered with LPL Enterprise, LLC in Batavia, NY. David is also a registered investment advisor in New York. David has passed the Series 6, Series 63, Series 26 and SIE exams. David has a background in the financial services industry, with experience at Financial Network Investment Corporation and First Investors Corporation. David offers financial planning and portfolio management services to individuals and businesses.

Firm Information

David Zauner is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Zauner’s Registration & Firm History

NY

11/14/2024 - Present

LPL Enterprise, LLC (BATAVIA NY)

CA

04/12/1996 - 07/15/1997

FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)

NJ

02/13/1990 - 04/22/1996

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

IA

Issued 01/07/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/15/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/11/1994

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/22/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for David John Zauner. Review regulatory record here.
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