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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

David Alfred Holloway

Advisor at LPL ENTERPRISE, LLC

STERLING, VA | VIENNA, VA

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Search this name across graphsid dfx:ria:8ff371e5-c441-c615-c581-69d3bfc68412

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 1, 2008 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 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: Apr 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Apr 27, 2013
First registration: Apr 1, 2008
Dual registered: yes, broker-dealer
Other names: DAVID HOLLOWAY|DAVID ALFRED HOLLOWAY
IAPD individual key: 5152878

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	STERLING, VA\|VIENNA, VA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Oct 3, 2022	Nov 14, 2024	no	North Bethesda, MD	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Nov 13, 2020	Oct 5, 2022	no	Rockville, MD	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Sep 18, 2015	Nov 13, 2020	no	WASHINGTON, DC\|WASHINGTON, DC\|BETHESDA, MD\|BETHESDA, MD	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 1, 2008	Aug 17, 2009	no	BIRMINGHAM, AL\|ALEXANDRIA, VA\|MCLEAN, VA\|COLUMBIA, MD	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	PRUCO SECURITIES, LLC	Oct 5, 2022	Oct 3, 2022	-2	Firm change	Other
ADVICE AND PLANNING SERVICES	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Nov 13, 2020	Nov 13, 2020	0	Firm change	Other
WELLS FARGO ADVISORS	ADVICE AND PLANNING SERVICES	Aug 17, 2009	Sep 18, 2015	2,223	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 3, 2022 to Nov 14, 2024factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Nov 13, 2020 to Oct 5, 2022factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Sep 18, 2015 to Nov 13, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 1, 2008 to Aug 17, 2009factForm ADV

Dated events

Occurred
Oct 5, 2022
Advisor changed firm
David Alfred Holloway left Northwestern Mutual Investment Services,Llc for Pruco Securities, Llc (registered 2022-10-03)
Form ADVobserved 6 days ago