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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

DAVID VIGIL

Advisor at LPL FINANCIAL LLC

REDDING, CA

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Search this name across graphsid dfx:ria:53c2a347-2cf1-acf1-a0d5-542eafffc2cb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Sep 11, 2010 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 26, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 26, 2007
First registration: Sep 11, 2010
Dual registered: yes, broker-dealer
Other names: DAVID MATTHEW VIGIL|DAVID VIGIL|DAVID M VIGIL
IAPD individual key: 5265026

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 16, 2025	n/a	yes	REDDING, CA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	Jan 21, 2025	no	REDDING, CA\|Oceanside, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Aug 2, 2022	Jun 14, 2024	no	NEWMAN, CA	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Feb 6, 2019	Aug 20, 2019	no	SAN JOSE, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 28, 2019	Aug 3, 2022	no	SAN JOSE, CA	Previous registration
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Aug 3, 2018	Jan 29, 2019	no	Fremont, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 5, 2015	Aug 7, 2018	no	WALNUT CREEK, CA\|WALNUT CREEK, CA\|FREMONT, CA\|SAN LORENZO, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 12, 2013	Nov 23, 2015	no	CONCORD, CA\|WALNUT CREEK, CA\|DANVILLE, CA\|RODEO, CA\|MORAGA, CA\|LAFAYETTE, CA\|POINT RICHMOND, CA\|ORINDA, CA\|SAN PABLO, CA\|RICHMOND, CA\|HERCULES, CA\|RICHMOND, CA\|SAN PABLO, CA\|PITTSBURG, CA\|SAN RAFAEL, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 26, 2011	May 31, 2013	no	LOS GATOS, CA\|SAN JOSE, CA\|SAN JOSE, CA\|LOS GATOS, CA\|SARATOGA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Feb 18, 2011	Aug 4, 2011	no	SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 11, 2010	Feb 22, 2011	no	SAN JOSE, CA	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Jan 21, 2025	Jan 16, 2025	-5	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	CETERA ADVISORS LLC	Aug 3, 2022	Feb 6, 2019	-1,274	Firm change after gap	Ibd to ibd
CETERA ADVISORS LLC	SECURITIES AMERICA ADVISORS, INC.	Aug 20, 2019	Aug 2, 2022	1,078	Firm change after gap	Ibd to ibd
SORRENTO PACIFIC FINANCIAL, LLC	CETERA INVESTMENT ADVISERS LLC	Jan 29, 2019	Jan 28, 2019	-1	Firm change	RIA to ibd
WELLS FARGO ADVISORS	SORRENTO PACIFIC FINANCIAL, LLC	Aug 7, 2018	Aug 3, 2018	-4	Firm change	Wirehouse to RIA
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Nov 23, 2015	Nov 5, 2015	-18	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	May 31, 2013	Jun 12, 2013	12	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 4, 2011	Oct 26, 2011	83	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Feb 22, 2011	Feb 18, 2011	-4	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
23131:6413:CA:2025-01-15	Jan 21, 2025	Jan 16, 2025	OCEANSIDE, CA	Firm change

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 12, 2013 to Nov 23, 2015factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 14, 2024 to Jan 21, 2025factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Aug 2, 2022 to Jun 14, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 28, 2019 to Aug 3, 2022factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Feb 6, 2019 to Aug 20, 2019factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Aug 3, 2018 to Jan 29, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 5, 2015 to Aug 7, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 26, 2011 to May 31, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Feb 18, 2011 to Aug 4, 2011factForm ADV

Dated events

Occurred
Jan 21, 2025
Advisor changed firm
David Vigil left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2025-01-16)
Form ADVobserved 5 days ago
Occurred
Aug 3, 2022
Advisor changed firm
David Vigil left Cetera Investment Advisers Llc for Cetera Advisors Llc (registered 2019-02-06)
Form ADVobserved 5 days ago