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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

DAVID ALLEN EMRING

Advisor at LPL ENTERPRISE, LLC

ST LOUIS, MO

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Search this name across graphsid dfx:ria:5e84eca6-fb76-bc79-c332-1be6114858cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Apr 6, 2007 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 ENTERPRISE, 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: Mar 14, 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: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 14, 2007
First registration: Apr 6, 2007
Dual registered: yes, broker-dealer
Other names: DAVID ALLEN EMRING|DAVID A EMRING|David Emring
IAPD individual key: 2850007

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 ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	ST LOUIS, MO	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Sep 16, 2024	Nov 14, 2024	no	St. Louis, MO	Previous registration
FINANCIAL & TAX ARCHITECTS, LLC	Independent wealth	Aug 2, 2023	Jun 6, 2024	no	ST. LOUIS, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 16, 2014	Jul 28, 2023	no	ST. LOUIS, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 15, 2011	Jan 24, 2014	no	ST. LOUIS, MO	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jul 19, 2010	Nov 16, 2010	no	CREVE COEUR, MO\|KIRKWOOD, MO\|ST. LOUIS, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 6, 2007	Jun 28, 2010	no	CHESTERFIELD, MO\|ST. LOUIS, MO	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
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
FINANCIAL & TAX ARCHITECTS, LLC	PRUCO SECURITIES, LLC	Jun 6, 2024	Sep 16, 2024	102	Firm change	RIA to ibd
WELLS FARGO ADVISORS	FINANCIAL & TAX ARCHITECTS, LLC	Jul 28, 2023	Aug 2, 2023	5	Firm change	Wirehouse to RIA
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Jan 24, 2014	Sep 16, 2014	235	Channel change	Wirehouse to wirehouse
PNC WEALTH MANAGEMENT	WELLS FARGO ADVISORS	Nov 16, 2010	Jun 15, 2011	211	Firm change	Other
WELLS FARGO ADVISORS	PNC WEALTH MANAGEMENT	Jun 28, 2010	Jul 19, 2010	21	Firm change	Other

Relationships

Registered with (6)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 16, 2024 to Nov 14, 2024factForm ADV
→ FINANCIAL & TAX ARCHITECTS, LLCRegistered adviserregistration: previous registration
Aug 2, 2023 to Jun 6, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 16, 2014 to Jul 28, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 15, 2011 to Jan 24, 2014factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 19, 2010 to Nov 16, 2010factForm ADV

Dated events

Occurred
Jun 6, 2024
Advisor changed firm
David Allen Emring left Financial & Tax Architects, Llc for Pruco Securities, Llc (registered 2024-09-16)
Form ADVobserved 5 days ago
Occurred
Jul 28, 2023
Advisor changed firm
David Allen Emring left Wells Fargo Advisors for Financial & Tax Architects, Llc (registered 2023-08-02)
Form ADVobserved 5 days ago