DFX Intelligence

Data Factory

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

David M Garres

Advisor at LPL FINANCIAL LLC

CORRY, PA | ERIE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4dc8bd34-56f8-bef8-dfe3-2fbf27541785

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Oct 27, 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: Sep 5, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 5, 2003
First registration: Oct 27, 2003
Dual registered: yes, broker-dealer
Other names: David Martin Garres|David M Garres
IAPD individual key: 4644663

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 18, 2022	n/a	yes	CORRY, PA\|ERIE, PA\|ERIE, PA\|ERIE, PA	Current employment
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Oct 20, 2020	May 18, 2022	no	Erie, PA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	May 29, 2019	Oct 2, 2020	no	ERIE, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 14, 2018	May 24, 2019	no	NORTH EAST, PA\|ERIE, PA\|CORRY, PA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Mar 15, 2018	Aug 31, 2018	no	Canonsburg, PA\|ERIE, PA	Previous registration
NORTHWEST ADVISORS, INC.	Former SEC adviser	Jan 8, 2013	Mar 5, 2018	no	ERIE, PA\|WARREN, PA	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Sep 3, 2010	Aug 20, 2012	no	ERIE, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	Aug 2, 2010	no	FAIRVIEW, PA	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Oct 19, 2009	Nov 13, 2009	no	FAIRVIEW, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jun 6, 2008	Oct 20, 2009	no	ERIE, PA\|ERIE, PA\|ERIE, PA\|ERIE, PA	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Aug 7, 2007	Jun 2, 2008	no	ERIE, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 27, 2003	Oct 4, 2004	no	ERIE, PA	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
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
CUSO FINANCIAL SERVICES, L.P.	CUNA BROKERAGE SERVICES, INC.	Oct 2, 2020	Oct 20, 2020	18	Firm change	Ibd to ibd
PNC WEALTH MANAGEMENT	CUSO FINANCIAL SERVICES, L.P.	May 24, 2019	May 29, 2019	5	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	PNC WEALTH MANAGEMENT	Aug 31, 2018	Sep 14, 2018	14	Firm change	Ibd to ibd
NORTHWEST ADVISORS, INC.	PRUCO SECURITIES, LLC	Mar 5, 2018	Mar 15, 2018	10	Firm change	Other
HUNTINGTON FINANCIAL ADVISORS	NORTHWEST ADVISORS, INC.	Aug 20, 2012	Jan 8, 2013	141	Firm change	Other
PNC WEALTH MANAGEMENT	HUNTINGTON FINANCIAL ADVISORS	Aug 2, 2010	Sep 3, 2010	32	Firm change	Other
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other
PNC WEALTH MANAGEMENT	NATCITY INVESTMENTS, INC.	Oct 20, 2009	Oct 19, 2009	-1	Firm change	Other
HUNTINGTON FINANCIAL ADVISORS	PNC WEALTH MANAGEMENT	Jun 2, 2008	Jun 6, 2008	4	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	HUNTINGTON FINANCIAL ADVISORS	Oct 4, 2004	Aug 7, 2007	1,037	Firm change after gap	Other

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 18, 2022 to presentfactForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2020 to May 18, 2022factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
May 29, 2019 to Oct 2, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 14, 2018 to May 24, 2019factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Mar 15, 2018 to Aug 31, 2018factForm ADV
→ NORTHWEST ADVISORS, INC.Registered adviserregistration: previous registration
Jan 8, 2013 to Mar 5, 2018factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Sep 3, 2010 to Aug 20, 2012factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Oct 19, 2009 to Nov 13, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 27, 2003 to Oct 4, 2004factForm ADV

Dated events

No dated event names this entity yet.