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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

DAVID LEE LAMIE

Advisor at LPL FINANCIAL LLC

BRISTOL, VA

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Search this name across graphsid dfx:ria:55d1e36e-ff18-b8e8-ff2b-ca5237764ae6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2006 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: Apr 29, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 5
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Apr 29, 1986
First registration: Aug 10, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 1037578

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	Feb 14, 2018	n/a	yes	BRISTOL, VA	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Mar 26, 2009	Feb 14, 2018	no	NEWPORT BEACH, CA\|DULUTH, GA\|BRISTOL, VA\|BRISTOL, TN	Previous registration
SOVEREIGN FINANCIAL SERVICES, LLC	n/a	May 23, 2008	Jul 17, 2009	no	ATLANTA, GA	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Aug 10, 2006	Mar 27, 2009	no	Irvine, CA\|NEWPORT COAST, CA\|NEWPORT COAST, 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
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Feb 14, 2018	Feb 14, 2018	0	Bulk transfer	Other
SOVEREIGN FINANCIAL SERVICES, LLC	INVEST FINANCIAL CORPORATION	Jul 17, 2009	Mar 26, 2009	-113	Firm change after gap	Other
OSAIC WEALTH, INC.	SOVEREIGN FINANCIAL SERVICES, LLC	Mar 27, 2009	May 23, 2008	-308	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Mar 26, 2009 to Feb 14, 2018factForm ADV
→ SOVEREIGN FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 23, 2008 to Jul 17, 2009factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Aug 10, 2006 to Mar 27, 2009factForm ADV

Dated events

No dated event names this entity yet.