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David Walter Pratt is a financial advisor professional located in Rockport, MA. They specialize in financial advisory. With over 30 years of experience, they bring deep expertise to every client.
David Walter Pratt - Lpl Financial Llc holds an active professional license (FINRA CRD) for your protection.
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David Walter Pratt operates as a financial advisor in Rockport, Massachusetts, under LPL Financial LLC. With 30 years in the financial services industry, he brings extensive experience to client relationships. His FINRA CRD registration (License #2301967) indicates he operates within the regulatory framework of the Financial Industry Regulatory Authority, which oversees securities professionals and investment advisors across the United States.
A FINRA CRD registration means David Walter Pratt is registered with the Financial Industry Regulatory Authority, the primary regulator of securities brokers and investment advisors in the United States. This registration requires compliance with FINRA rules and regulations, which govern conduct, disclosure practices, and customer protection standards. The CRD (Central Registration Depository) number allows clients and regulators to verify his registration status and review his disciplinary history. This oversight structure ensures he meets specific training and ethical requirements for handling client investments and financial advice.