Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dathan? Claim Your ProfileDathan Everett Lumpkins is an investment advisor representative with Wells Fargo Advisors Financial Network, LLC. Lumpkins has been in the industry since June 2004. Dathan Lumpkins is registered with the state of Michigan and Texas. Lumpkins holds a Series 7, Series 6, Series 63, Series 52, Series 51, Series 24, and Series 53 securities licenses. Lumpkins has also passed the Series 65 Uniform Investment Adviser Law Examination and the Securities Industry Essentials Examination (SIE). Dathan Lumpkins has worked for several firms over the years including J.P. Morgan Securities LLC, Chase Investment Services Corp., and Northwestern Mutual Investment Services, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MI
01/13/2018 - Present
Wells Fargo Advisors Financial Network, LLC (ST JOSEPH MI)
MI
10/01/2012 - 02/01/2018
J.P. MORGAN SECURITIES LLC (ST. JOSEPH MI)
MI
04/05/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (ST. JOSEPH MI)
WI
02/26/2004 - 12/06/2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
IA
Issued 10/29/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/09/2011
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 01/15/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2008
Series 7 - General Securities Representative Examination
BC
Issued 02/25/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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