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Detailed Report
DAVID AQUINO LUMIQUED
DAVE LUMIQUED
CRD#: 2689449
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 100 N. BARRANCA ST.
STE. 810
WEST COVINA, CA 91791
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2005 - 2023 (17 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1995 - 2005 (9 years)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2017 - 2023 (6 years)IAINDEPENDENT CAPITAL MANAGEMENT (CRD# 121354)2000 - 2017 (16 years)IAINDEPENDENT CAPITAL MANAGEMENT (CRD# 121354)2002 - 1998 (<1 year)
License(s)

State Registrations

B
California 9/1/2023
B
Michigan 9/1/2023
IA
California 9/1/2023
B
Minnesota 9/1/2023
B
Colorado 9/1/2023
B
Nevada 9/1/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
100 N. BARRANCA ST. STE. 810, WEST COVINA, CA 91791
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
100 N. BARRANCA ST. STE. 810, WEST COVINA, CA 91791
Registered with this firm since 9/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/04/2017 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) WEST COVINA, CA
B
 10/31/2005 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) WEST COVINA, CA
IA
 02/10/2000 - 01/06/2017 INDEPENDENT CAPITAL MANAGEMENT (CRD#:121354) SAN DIEGO, CA
B
 12/11/1995 - 10/31/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
IA
 06/24/2002 - 01/30/1998 INDEPENDENT CAPITAL MANAGEMENT (CRD#:121354) SOUTH PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.