Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lummus is a financial advisor who has been in the industry since 1996. He is currently registered with Prospera Financial Services, Inc. in Nevada. He is a seasoned professional with extensive experience in the financial services industry, having worked with firms such as Morgan Stanley and Citigroup Global Markets Inc. David has a wide range of credentials, including the Series 7, 31, 9, 10, 63 and 65 licenses. David Lummus's primary focus is helping individuals, families, and businesses reach their financial goals. He is also a registered investment advisor in Nevada.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
NV
04/07/2021 - Present
Prospera Financial Services, Inc. (Incline Village NV)
NV
06/01/2009 - 02/01/2021
MORGAN STANLEY (RENO NV)
WI
01/16/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MADISON WI)
MN
10/17/1996 - 01/29/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 10/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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