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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

DAVID NATHAN STERLING

Advisor at LPL FINANCIAL LLC

FT LAUDERDALE, FL

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Search this name across graphsid dfx:ria:a8ab8336-f6b0-ef82-e75d-10ab779f6576

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 16, 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 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, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 2, 2001
First registration: May 16, 2007
Dual registered: yes, broker-dealer
Other names: DAVID SCHWARTZBERG
IAPD individual key: 4460988

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	Aug 22, 2025	n/a	yes	FT LAUDERDALE, FL	Current employment
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Oct 8, 2024	Aug 21, 2025	no	MEMPHIS, TN\|Palm Beach, FL\|Palm Beach, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 12, 2022	Oct 1, 2024	no	GREENWICH, CT\|Delray, FL\|BOCA RATON, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 17, 2015	Jul 21, 2022	no	STAMFORD, CT\|Delray Beach, FL	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Sep 15, 2008	Oct 2, 2015	no	NEW YORK, NY\|NEW YORK, NY\|GREENWICH, CT	Previous registration
LEHMAN BROTHERS INC.	n/a	May 16, 2007	Sep 24, 2008	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	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
FIRST HORIZON ADVISORS, INC	LPL FINANCIAL LLC	Aug 21, 2025	Aug 22, 2025	1	Bulk transfer	RIA to ibd
UBS FINANCIAL SERVICES INC.	FIRST HORIZON ADVISORS, INC	Oct 1, 2024	Oct 8, 2024	7	Firm change	Wirehouse to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jul 21, 2022	Oct 12, 2022	83	Firm change	Wirehouse to wirehouse
CREDIT SUISSE SECURITIES (USA) LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 2, 2015	Sep 17, 2015	-15	Firm change	Other
LEHMAN BROTHERS INC.	CREDIT SUISSE SECURITIES (USA) LLC	Sep 24, 2008	Sep 15, 2008	-9	Bulk transfer	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 22, 2025 to presentfactForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
Oct 8, 2024 to Aug 21, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 12, 2022 to Oct 1, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 17, 2015 to Jul 21, 2022factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Sep 15, 2008 to Oct 2, 2015factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
May 16, 2007 to Sep 24, 2008factForm ADV

Dated events

Occurred
Oct 1, 2024
Advisor changed firm
David Nathan Sterling left Ubs Financial Services Inc. for First Horizon Advisors, Inc (registered 2024-10-08)
Form ADVobserved 6 days ago
Occurred
Jul 21, 2022
Advisor changed firm
David Nathan Sterling left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2022-10-12)
Form ADVobserved 6 days ago