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Charles David Lautz
CHARLES DAVID LAUTZ, CHARLES DAVID DAVID LAUTZ, DAVID CHARLES LAUTZ
CRD#: 2493734
IA
Investment Adviser
B
Broker
MONEX ASSET MANAGEMENT, INC.CRD#: 148123 350 10TH AVENUE
SUITE 1000
SAN DIEGO, CA 92101
MONEX SECURITIES, INC.CRD#: 30362 350 10TH AVENUE
SUITE 1054
SAN DIEGO, CA 92101
Registration History
19952000200520102015202020252 FIRMS2005 - 2008 (2 years)2 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - 2017 (6 years)4 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2020 (2 years)2 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - Present (1 year)BSECURITIES AMERICA, INC. (CRD# 10205)2020 - 2020 (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)1994 - 2005 (10 years)IAPFG ADVISORS (CRD# 173344)2020 - 2021 (<1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2004 - 2005 (<1 year)
Disclosure(s)
View By:
1/13/2021
Financial
Final
12/21/2020
Employment Separation After Allegations
License(s)

State Registrations

B
California 5/2/2023

IA
California 5/3/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MONEX ASSET MANAGEMENT, INC. (CRD#:148123)
350 10TH AVENUE SUITE 1000, SAN DIEGO, CA 92101
Registered with this firm since 5/2/2023

B
MONEX SECURITIES, INC. (CRD#:30362)
350 10TH AVENUE SUITE 1054, SAN DIEGO, CA 92101
Registered with this firm since 5/2/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/15/2021 - 04/24/2023 INSIGHT SECURITIES, INC. (CRD#:5611) Chula Vista, CA
B
04/14/2021 - 04/24/2023 INSIGHT SECURITIES, INC. (CRD#:5611) HIGHLAND PARK, IL
IA
03/16/2020 - 01/20/2021 PFG ADVISORS (CRD#:173344) Chula Vista, CA
B
03/13/2020 - 12/23/2020 SECURITIES AMERICA, INC. (CRD#:10205) SAN DIEGO, CA
IA
12/04/2017 - 03/20/2020 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) La Jolla, CA
B
12/04/2017 - 03/20/2020 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) La Jolla, CA
IA
09/11/2017 - 12/07/2017 MONEX ASSET MANAGEMENT, INC. (CRD#:148123) SAN DIEGO, CA
B
09/08/2017 - 12/06/2017 MONEX SECURITIES, INC. (CRD#:30362) HOUSTON, TX
IA
01/23/2017 - 06/28/2017 SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299) SAN DIEGO, CA
B
01/23/2017 - 06/28/2017 SNOWDEN ACCOUNT SERVICES LLC (CRD#:149794) San Diego, CA
IA
01/03/2011 - 01/25/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
B
01/03/2011 - 01/25/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
IA
07/10/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CHULA VISTA, CA
B
07/10/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) CHULA VISTA, CA
IA
07/12/2005 - 05/07/2008 STRATEGIC ADVISERS, INC. (CRD#:104555) SAN DIEGO, CA
B
07/07/2005 - 05/07/2008 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SAN DIEGO, CA
IA
08/05/2004 - 06/17/2005 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) SAN DIEGO, CA
B
08/01/1994 - 06/17/2005 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.