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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

DAVID SCOTT STEINFELD

Advisor at LPL FINANCIAL LLC

MONTEAGLE, TN

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Search this name across graphsid dfx:ria:eb4baa42-bfa6-78df-e8a0-aa00bfef452c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 15, 2004 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: Sep 22, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 22, 1994
First registration: Jan 15, 2004
Dual registered: yes, broker-dealer
Other names: DAVE STEINFIELD
IAPD individual key: 2534502

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 13, 2026	n/a	yes	MONTEAGLE, TN	Current employment
CALDWELL ADVISORS, LLC	Independent wealth	Mar 31, 2020	Oct 4, 2021	no	BRENTWOOD, TN	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jul 2, 2015	no	FRANKLIN, TN\|NASHVILLE, TN\|BRENTWOOD, TN	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Feb 12, 2004	Jan 2, 2009	no	Franklin, TN\|NASHVILLE, TN\|BRENTWOOD, TN\|BRENTWOOD, TN\|BRENTWOOD, TN\|HENDERSON, KY\|BRENTWOOD, TN	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jan 15, 2004	Feb 4, 2004	no	NASHVILLE, TN	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
CALDWELL ADVISORS, LLC	LPL FINANCIAL LLC	Oct 4, 2021	Jan 13, 2026	1,562	Firm change after gap	RIA to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	CALDWELL ADVISORS, LLC	Jul 2, 2015	Mar 31, 2020	1,734	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES FINANCIAL SERVICES, INC.	Feb 4, 2004	Feb 12, 2004	8	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 13, 2026 to presentfactForm ADV
→ CALDWELL ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 31, 2020 to Oct 4, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jul 2, 2015factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 12, 2004 to Jan 2, 2009factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jan 15, 2004 to Feb 4, 2004factForm ADV

Dated events

No dated event names this entity yet.