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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

DAVID LEE BROWN

Advisor at LPL FINANCIAL LLC

HOUSTON, TX

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Search this name across graphsid dfx:ria:87f9f945-0c3b-2154-2b80-da996f282c2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 17, 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: Nov 9, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Nov 9, 1988
First registration: Mar 17, 2003
Dual registered: yes, broker-dealer
Other names: DAVE BROWN|Dave Brown|DAVE BROWN
IAPD individual key: 1875017

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	Sep 30, 2015	n/a	yes	HOUSTON, TX\|HOUSTON, TX	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Oct 15, 2015	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Oct 1, 2012	no	FRIENDSWOOD, TX\|FRIENDSWOOD, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Jun 28, 2004	Jul 6, 2005	no	FRIENDSWOOD, TX	Previous registration
IFMG SECURITIES, INC.	n/a	Mar 17, 2003	May 12, 2004	no	HOUSTON, TX	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
J.P. MORGAN SECURITIES LLC	LPL FINANCIAL LLC	Oct 15, 2015	Sep 30, 2015	-15	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other
IFMG SECURITIES, INC.	BANC ONE SECURITIES CORPORATION	May 12, 2004	Jun 28, 2004	47	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 30, 2015 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Oct 15, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Oct 1, 2012factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 28, 2004 to Jul 6, 2005factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Mar 17, 2003 to May 12, 2004factForm ADV

Dated events

No dated event names this entity yet.