Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lydia? Claim Your ProfileLydia Dupont is an investment advisor representative and a registered representative with D.A. Davidson & Co. Lydia has been in the securities industry since 2003, and holds a Series 7, Series 9, Series 10, Series 63, and Series 66 licenses. Previously, Lydia worked for Morgan Stanley, Citigroup Global Markets Inc., and UBS Financial Services Inc. Lydia is registered in 36 states and two territories and is a member of the Financial Industry Regulatory Authority (FINRA). Lydia is also registered as an investment advisor representative in California and Texas. Lydia has a strong track record of success in the financial services industry and is committed to providing her clients with personalized financial advice and guidance. Lydia specializes in helping clients achieve their financial goals through a variety of investment strategies.
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/09/2019 - Present
D.a. Davidson & Co. (NEWPORT BEACH CA)
CA
06/01/2009 - 12/03/2012
MORGAN STANLEY (BREA CA)
CA
10/14/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (IRVINE CA)
NJ
04/21/2003 - 10/30/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BC
Issued 05/27/2016
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/27/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/05/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/23/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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