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Detailed Report
DAVID WALTON LUMMUS
DAVID WALTER LUMMUS, WALT LUMMUS
CRD#: 2802260
IA
Investment Adviser
B
Broker
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 120 Country Club
Unit 7
Incline Village, NV 89451
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2009 (8 years)2 FIRMS2009 - 2021 (11 years)2 FIRMS2021 - Present (3 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)1996 - 2001 (4 years)
Disclosure(s)
View By:
4/24/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Nevada 4/7/2021
IA
Nevada 4/7/2021

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
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
120 Country Club Unit 7, Incline Village, NV 89451
Registered with this firm since 4/7/2021
B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
120 Country Club Unit 7, Incline Village, NV 89451
Registered with this firm since 3/26/2021
Previous Registration(s)
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IA
 06/01/2009 - 02/01/2021 MORGAN STANLEY (CRD#:149777) RENO, NV
B
 06/01/2009 - 02/01/2021 MORGAN STANLEY (CRD#:149777) RENO, NV
IA
 01/25/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MADISON, WI
B
 01/16/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MADISON, WI
B
 10/17/1996 - 01/29/2001 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
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.