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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

LOPEZ DUANE DAVIS

Advisor at LPL FINANCIAL LLC

GASTONIA, NC | SHELBY, NC | CHARLOTTE, NC | MATTHEWS, NC

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Search this name across graphsid dfx:ria:1c7e7504-ff20-0f7f-ed64-5b3e3c8b5452

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 20, 2003 to Sep 15, 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: Sep 12, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63|S66
First exam: Sep 12, 1984
First registration: Oct 20, 2003
Dual registered: yes, broker-dealer
Other names: Duane Davis
IAPD individual key: 1299827

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	May 15, 2025	n/a	yes	SHELBY, NC\|MATTHEWS, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|GASTONIA, NC	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jul 10, 2019	May 15, 2025	no	SAN DIEGO, CA\|Winston-Salem, NC\|Charlotte, NC\|Matthews, NC\|Charlotte, NC\|Charlotte, NC\|Gastonia, NC\|Shelby, NC\|Shelby, NC	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jul 15, 2015	Jul 15, 2019	no	CHARLOTTE, NC\|Wytheville, VA\|CHARLOTTE, NC\|Matthews, NC\|WINSTON SALEM, NC	Previous registration
FIRST TENNESSEE ADVISORY SERVICES, INC.	Former SEC adviser	Dec 19, 2011	Oct 10, 2013	no	MEMPHIS, TN	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Nov 12, 2010	Jun 11, 2015	no	WINSTON SALEM, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 20, 2003	Dec 31, 2005	no	WINSTON SALEM, NC	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
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
CUNA BROKERAGE SERVICES, INC.	CUSO FINANCIAL SERVICES, L.P.	Jul 15, 2019	Jul 10, 2019	-5	Firm change	Ibd to ibd
FIRST HORIZON ADVISORS, INC	FIRST TENNESSEE ADVISORY SERVICES, INC.	Jun 11, 2015	Dec 19, 2011	-1,270	Firm change after gap	Other
FIRST TENNESSEE ADVISORY SERVICES, INC.	CUNA BROKERAGE SERVICES, INC.	Oct 10, 2013	Jul 15, 2015	643	Firm change after gap	Other
WELLS FARGO ADVISORS	FIRST HORIZON ADVISORS, INC	Dec 31, 2005	Nov 12, 2010	1,777	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
13941:42132:NC:2019-07-12	Jul 15, 2019	Jul 10, 2019	WINSTON SALEM, NC	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jul 10, 2019 to May 15, 2025factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jul 15, 2015 to Jul 15, 2019factForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
Nov 12, 2010 to Jun 11, 2015factForm ADV
→ FIRST TENNESSEE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Dec 19, 2011 to Oct 10, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 20, 2003 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.