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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

DAVID ANTHONY TROY

Advisor at LPL FINANCIAL LLC

WETHERSFIELD, CT

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Search this name across graphsid dfx:ria:03e16de6-67bd-e45d-282d-1b1df5b1af12

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 16, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 15, 2003
First registration: Jan 16, 2003
Dual registered: yes, broker-dealer
Other names: DAVID ANTHONY ROBERT TROY|DAVID ANTHONY ROBERT TROY
IAPD individual key: 4602501

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 17, 2024	n/a	yes	WETHERSFIELD, CT	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 7, 2017	Jan 26, 2024	no	West Hartford, CT\|Stamford, CT	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2011	Aug 13, 2017	no	WEST HARTFORD, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 18, 2008	Jan 31, 2011	no	GLASTONBURY, CT	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 16, 2003	Nov 18, 2008	no	EAST HARTFORD, CT\|EAST HARTFORD, CT\|Glastonbury, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB & CO., INC.	LPL FINANCIAL LLC	Jan 26, 2024	Jan 17, 2024	-9	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Aug 13, 2017	Sep 7, 2017	25	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	STRATEGIC ADVISERS LLC	Jan 31, 2011	Mar 31, 2011	59	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Nov 18, 2008	Nov 18, 2008	0	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 17, 2024 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 7, 2017 to Jan 26, 2024factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2011 to Aug 13, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 18, 2008 to Jan 31, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 16, 2003 to Nov 18, 2008factForm ADV

Dated events

Occurred
Jan 26, 2024
Advisor changed firm
David Anthony Troy left Charles Schwab & Co., Inc. for Lpl Financial Llc (registered 2024-01-17)
Form ADVobserved 3 days ago