DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

DAVID WALTER HEILIGENTHALER

Advisor at LPL FINANCIAL LLC

Davidson, NC | DAVIDSON, NC | SAN DIEGO, CA

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:5f4cfc0c-ec5c-a021-ec61-c36b9a1b8e49

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 15, 2002 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: Nov 2, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Nov 2, 1993
First registration: Aug 15, 2002
Dual registered: yes, broker-dealer
Other names: DAVE HEILIGENTHALER
IAPD individual key: 2413767

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	Jun 13, 2024	n/a	yes	Davidson, NC\|SAN DIEGO, CA\|DAVIDSON, NC	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jul 17, 2020	Jun 13, 2024	no	DAVIDSON, NC	Previous registration
INVESTACORP ADVISORY SERVICES INC	Former SEC adviser	May 20, 2019	Jul 17, 2020	no	Davidson, NC	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Dec 1, 2011	May 20, 2019	no	SAN DIEGO, CA\|DAVIDSON, NC	Previous registration
DH FINANCIAL SERVICES, INC.	n/a	Feb 25, 2004	Jan 20, 2012	no	DAVIDSON, NC	Previous registration
DH FINANCIAL SERVICES, INC.	n/a	Aug 15, 2002	Dec 31, 2002	no	DAVIDSON, 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
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Jun 13, 2024	Jun 13, 2024	0	Firm change	Ibd to ibd
INVESTACORP ADVISORY SERVICES INC	SECURITIES AMERICA ADVISORS, INC.	Jul 17, 2020	Jul 17, 2020	0	Bulk transfer	Ibd to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	INVESTACORP ADVISORY SERVICES INC	May 20, 2019	May 20, 2019	0	Firm change	Ibd to ibd
DH FINANCIAL SERVICES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jan 20, 2012	Dec 1, 2011	-50	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 13, 2024 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jul 17, 2020 to Jun 13, 2024factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
May 20, 2019 to Jul 17, 2020factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Dec 1, 2011 to May 20, 2019factForm ADV
→ DH FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 25, 2004 to Jan 20, 2012factForm ADV

Dated events

Occurred
Jun 13, 2024
Advisor changed firm
David Walter Heiligenthaler left Securities America Advisors, Inc. for Lpl Financial Llc (registered 2024-06-13)
Form ADVobserved 5 days ago