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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

DAVID SCOTT LEX

Advisor at LPL FINANCIAL LLC

WHITEFISH BAY, WI | MEQUON, WI | THIENSVILLE, WI

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Search this name across graphsid dfx:ria:cbcf79f7-4436-2534-45ef-0ab54502eae6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 14, 2005 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: Aug 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 30, 2001
First registration: Dec 14, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4386158

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	Mar 24, 2021	n/a	yes	THIENSVILLE, WI\|MEQUON, WI\|WHITEFISH BAY, WI	Current employment
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Nov 1, 2010	Mar 24, 2021	no	MEQUON, WI\|CEDARBURG, WI\|THIENSVILLE, WI\|MEQUON, WI\|GRAFTON, WI\|CEDARBURG, WI\|THIENSVILLE, WI\|MEQUON, WI\|CHICAGO, IL	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jul 13, 2007	Nov 2, 2010	no	WAUKESHA, WI\|MUKWONAGO, WI\|GREENFIELD, WI\|FRANKLIN, WI\|MILWAUKEE, WI\|MUSKEGO, WI\|MILWAUKEE, WI\|S. MILWAUKEE, WI\|WEST ALLIS, WI\|CHARLOTTE, NC\|S. MILWAUKEE, WI	Previous registration
VISION ASSET MANAGEMENT INC	n/a	Dec 14, 2005	Jul 24, 2007	no	ROSEMONT, IL\|SOUTH MILWAUKEE, WI	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
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
UVEST FINANCIAL SERVICES GROUP, INC.	BMO HARRIS FINANCIAL ADVISORS, INC	Nov 2, 2010	Nov 1, 2010	-1	Firm change	Other
VISION ASSET MANAGEMENT INC	UVEST FINANCIAL SERVICES GROUP, INC.	Jul 24, 2007	Jul 13, 2007	-11	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 24, 2021 to presentfactForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Nov 1, 2010 to Mar 24, 2021factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jul 13, 2007 to Nov 2, 2010factForm ADV
→ VISION ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Dec 14, 2005 to Jul 24, 2007factForm ADV

Dated events

No dated event names this entity yet.