David Gaffney
David Gaffney is a registered investment advisor at LPL Financial LLC, based in Chicago, IL, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
231 S La Salle St # 13, 13th Floor, Chicago, IL, 60604
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Regulatory History (2)
Customer Dispute
March 2025Customer Dispute
September 2019Other Business ActivitiesSells Insurance
David works with Wintrust Investments as a DBA for his LPL business, dedicating nearly full-time hours to this role. He also works with Capitas Financial selling non-variable insurance, spending minimal time on this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wintrust Investments
Wintrust Investments LLCBroker
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Gelber Securities INC.Broker
State Registrations21 states
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.