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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

DAVID LEE TRAVIS

Advisor at LPL FINANCIAL LLC

SPRINGFIELD, IL

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Search this name across graphsid dfx:ria:fdd3f8a1-220e-202c-7e82-1a54eb084c4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2006 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: Dec 20, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 20, 2006
First registration: Dec 21, 2006
Dual registered: yes, broker-dealer
Other names: DAVID LEE TRAVIS
IAPD individual key: 5056057

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	Jul 8, 2020	n/a	yes	SPRINGFIELD, IL	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Jul 1, 2020	no	Springfield, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 23, 2013	Mar 25, 2017	no	SPRINGFIELD, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jan 7, 2013	no	SPRINGFIELD, IL\|SPRINGFIELD, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 27, 2010	Oct 1, 2012	no	SPRINGFIELD, IL\|SPRINGFIELD, IL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Dec 21, 2006	Jul 14, 2009	no	SPRINGFIELD, 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
MML INVESTORS SERVICES, LLC	LPL FINANCIAL LLC	Jul 1, 2020	Jul 8, 2020	7	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	MSI FINANCIAL SERVICES, INC.	Jan 7, 2013	Jan 23, 2013	16	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	CHASE INVESTMENT SERVICES CORP.	Jul 14, 2009	Apr 27, 2010	287	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 8, 2020 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Jul 1, 2020factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 23, 2013 to Mar 25, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jan 7, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 27, 2010 to Oct 1, 2012factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 21, 2006 to Jul 14, 2009factForm ADV

Dated events

No dated event names this entity yet.