Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lum is a financial professional with over 30 years of experience in the industry. David is a Certified Financial Planner™ professional and holds several industry licenses including Series 3, 7, 63, and 65. David has worked with Raymond James & Associates, Inc. since 2017 and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. David is currently registered with the state of Florida and Texas to provide investment advisory services.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
04/29/2019 - Present
Raymond James & Associates, Inc. (STUART FL)
FL
10/20/1999 - 02/27/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STUART FL)
NY
03/09/1988 - 09/21/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/15/1988 - 03/03/1988
SHEARSON LEHMAN HUTTON INC.
NA
09/25/1985 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1986
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Lum is the right advisor for you? Invested Better is here to help.
