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David Harding

LPL Financial LLC
29 Years of Experience
Framingham, MA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

David Harding is a registered investment advisor at LPL Financial LLC, based in Framingham, MA, with 29 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

40 Speen Street, Suite 202, Framingham, MA, 01701

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2012
Denied
Customer Dispute
September 2006
Denied
Criminal
December 2000
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is involved in investment and insurance sales through Northeast Investment Advisors. He spends nearly full-time hours per month on fixed insurance activities, with about a quarter of his time during trading hours.

Employment History
Current Registrations
LPL Financial LLC
September 2026 - Present · 1 mo
LPL Financial LLCBroker
September 2026 - Present · 1 mo
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
October 2016 - Present · 10 yrs
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital Advisory
August 2009 - October 2016 · 7 yrs 2 mos
Investors Capital CORP.Broker
August 2009 - October 2016 · 7 yrs 2 mos
Next Financial Group, INC.
August 2009 - August 2009 · 0 mos
Next Financial Group, INC.Broker
August 2009 - August 2009 · 0 mos
B.B. Graham & Company, INC.
October 2007 - August 2009 · 1 yr 10 mos
B.B. Graham & Company, INC.Broker
September 2007 - August 2009 · 1 yr 11 mos
First Midamerica Investment Corporation
September 2005 - September 2007 · 2 yrs
First Midamerica Investment CorporationBroker
August 2005 - September 2007 · 2 yrs 1 mo
Banc of America Investment Services, INC.
October 2004 - August 2005 · 10 mos
Banc of America Investment Services, INC.Broker
October 2004 - August 2005 · 10 mos
Quick & Reilly, INC.
September 2002 - October 2004 · 2 yrs 1 mo
Quick & Reilly, INC.Broker
September 2000 - October 2004 · 4 yrs 1 mo
Bankboston Investor Services, INC.Broker
March 2000 - September 2000 · 6 mos
Nylife Securities INC.Broker
March 1997 - May 2000 · 3 yrs 2 mos
State Registrations9 states
CTFLGAMAMENCNHRISC
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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