Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Leo Connor is a financial advisor at LPL Financial LLC. David has been in the financial services industry since March 2, 1998. David is registered with the state of California and Texas as a Registered Representative and an Investment Advisor Representative. Prior to working at LPL Financial LLC, David worked at MORGAN STANLEY DW INC. in Purchase, NY. David has a wide range of experience and expertise in the financial services industry. David is committed to providing his clients with personalized financial advice and guidance.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/05/2013 - Present
LPL Financial LLC (REDLANDS CA)
NY
02/18/1998 - 08/09/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 03/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/15/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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