Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Luna is a financial professional with over 40 years of experience in the securities industry. David is a Registered Representative with Stifel, Nicolaus & Company, Inc. and has been with the firm since 2007. Prior to Stifel, Nicolaus & Company, Inc., David was employed by A. G. Edwards & Sons, Inc. David holds several industry licenses and designations, including Series 7, 9, 10, 24, 53, and 63. David’s specializations include investments, securities, equities, bonds, mutual funds, variable annuities, and fixed annuities.
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.
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
CA
09/25/2007 - Present
Stifel, Nicolaus & Company, Inc. (PASADENA CA)
CA
08/25/1989 - 10/11/2007
A. G. EDWARDS & SONS, INC. (PASADENA CA)
NY
08/25/1989 - 12/11/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
09/30/1982 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
04/29/1980 - 09/30/1982
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
11/06/1979 - 04/24/1980
WAGENSELLER & DURST, INC.
NA
03/01/1976 - 10/28/1979
E. F. HUTTON & COMPANY INC
BC
Issued 12/03/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/27/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/10/1980
Series 4 - Registered Options Principal Examination
BC
Issued 06/16/1980
Series 12 - NYSE Branch Manager Examination
BC
Issued 03/04/1980
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 11/07/1983
Series 5 - Interest Rate Options Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 02/21/1976
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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