Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lancaster has been in the financial services industry for over 20 years. David has a broad range of experience in the industry, including positions with UBS Financial Services Inc., J.P. Morgan Securities LLC, Millenco, L.L.C., Keystone Securities, LLC and Shepherd Financial Group, Inc. David is currently registered with Regiment Securities, LLC and is licensed to sell securities in California, Colorado, Illinois, Massachusetts, New York, and Texas. David holds the Series 3, 4, 7, 24, 30, 55, 63 and 65 licenses.
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.
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.
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IL
08/06/2023 - Present
Regiment Securities, LLC (CHICAGO IL)
IN
03/08/2023 - 07/19/2023
FNEX CAPITAL, LLC (INDIANAPOLIS IN)
CA
04/03/2019 - 10/09/2019
EMERSON EQUITY LLC (SAN MATEO CA)
IN
03/31/2018 - 04/08/2019
FNEX CAPITAL, LLC (INDIANAPOLIS IN)
IL
01/26/2018 - 02/16/2018
LICCAR SECURITIES, LLC (CHICAGO IL)
CA
05/01/2014 - 08/23/2016
UBS FINANCIAL SERVICES INC. (SAN MATEO CA)
CA
11/01/2012 - 04/29/2014
J.P. MORGAN SECURITIES LLC (PALO ALTO CA)
NY
02/23/2007 - 04/03/2007
MILLENCO, L.L.C. (NEW YORK NY)
WI
08/21/1998 - 12/12/2006
KEYSTONE SECURITIES, LLC (BURLINGTON WI)
IL
06/18/1996 - 02/05/1998
SHEPHERD FINANCIAL GROUP, INC. (VERNON HILLS IL)
BC
Issued 03/03/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/08/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1997
Series 30 - NFA Branch Manager Examination
BC
Issued 09/25/1996
Series 4 - Registered Options Principal Examination
BC
Issued 06/21/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2012
Series 7 - General Securities Representative Examination
BC
Issued 03/12/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/15/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
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FINRA
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