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DAVID GWIN BROOKE
CRD#: 2816477
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 422 GAY ST, STE 200
KNOXVILLE, TN 37902
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2024 (19 years)2 FIRMS2024 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)1996 - 2004 (7 years)IAPRIVATE CLIENT SERVICES, LLC (CRD# 120222)2004 - 2005 (1 year)IA1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Georgia 3/1/2024

IA
Tennessee 3/1/2024

B
Missouri 3/1/2024

B
Texas 3/1/2024

B
Oklahoma 3/1/2024

IA
Texas 3/4/2024

B
Tennessee 3/1/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
422 GAY ST, STE 200, KNOXVILLE, TN 37902
Registered with this firm since 3/1/2024

B
LPL FINANCIAL LLC (CRD#:6413)
422 GAY ST, STE 200, KNOXVILLE, TN 37902
Registered with this firm since 3/1/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/19/2024 - 03/06/2024 OSAIC WEALTH, INC. (CRD#:23131) KNOXVILLE, TN
B
01/19/2024 - 03/06/2024 OSAIC WEALTH, INC. (CRD#:23131) KNOXVILLE, TN
IA
07/16/2004 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) KNOXVILLE, TN
B
07/15/2004 - 01/19/2024 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) KNOXVILLE, TN
IA
07/19/2004 - 12/14/2005 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) KNOXVILLE, TN
IA
05/04/2004 - 07/19/2004 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) KNOXVILLE, TN
B
12/05/1996 - 07/19/2004 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.