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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

DAVID ANDREW FARRELL

Advisor at LPL FINANCIAL LLC

WHEATON, IL | PARK RIDGE, IL

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Search this name across graphsid dfx:ria:e6d7125e-4005-290f-6c36-3dbf15ef180d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2000 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: Jul 29, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63|S66
First exam: Jul 29, 1997
First registration: Nov 9, 2000
Dual registered: yes, broker-dealer
Other names: DAVE FARRELL|DAVID ANDREW FARRELL
IAPD individual key: 2489855

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	Jan 23, 2025	n/a	yes	PARK RIDGE, IL\|WHEATON, IL\|WHEATON, IL	Current employment
WINTRUST INVESTMENTS	Former SEC adviser	Jul 27, 2015	Jan 23, 2025	no	Wheaton, IL\|CHICAGO, IL\|WHEATON, IL\|NAPERVILLE, IL\|NAPERVILLE, IL\|Wheaton, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 17, 2009	Jul 31, 2015	no	GLEN ELLYN, IL\|WHEATON, IL\|WHEATON, IL	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Sep 27, 2006	Mar 19, 2008	no	GREEN BAY, WI\|NEENAH, WI\|NEENAH, WI	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Sep 12, 2005	Sep 27, 2006	no	APPLETON, WI\|CHICAGO, IL\|GREEN BAY, WI	Previous registration
J.P. MORGAN ASSET MANAGEMENT	n/a	Nov 9, 2000	Jan 4, 2005	no	CHICAGO, IL	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
WINTRUST INVESTMENTS	LPL FINANCIAL LLC	Jan 23, 2025	Jan 23, 2025	0	Bulk transfer	RIA to ibd
LPL FINANCIAL LLC	WINTRUST INVESTMENTS	Jul 31, 2015	Jul 27, 2015	-4	Firm change	Other
J.P. MORGAN SECURITIES INC.	LPL FINANCIAL LLC	Mar 19, 2008	Nov 17, 2009	608	Firm change after gap	Other
BANC ONE SECURITIES CORPORATION	J.P. MORGAN SECURITIES INC.	Sep 27, 2006	Sep 27, 2006	0	Bulk transfer	Other
J.P. MORGAN ASSET MANAGEMENT	BANC ONE SECURITIES CORPORATION	Jan 4, 2005	Sep 12, 2005	251	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:875:IL:2015-07-31	Jul 31, 2015	Jul 27, 2015	WHEATON, IL	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 17, 2009 to Jul 31, 2015factForm ADV
→ WINTRUST INVESTMENTSRegistered adviserregistration: previous registration
Jul 27, 2015 to Jan 23, 2025factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Sep 27, 2006 to Mar 19, 2008factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 12, 2005 to Sep 27, 2006factForm ADV
→ J.P. MORGAN ASSET MANAGEMENTRegistered adviserregistration: previous registration
Nov 9, 2000 to Jan 4, 2005factForm ADV

Dated events

No dated event names this entity yet.