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DAVID PHILIP LUNA
DAVID PHILLIP LUNA
CRD#: 818673
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 GATEWAY PLAZA, 300 NORTH LAKE AVENUE
SUITE 900
PASADENA, CA 91101
SUITE 900
PASADENA, CA 91101
0
Disclosures
49
Years of Experience
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State Registrations
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Arizona 10/13/2010
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Oregon 9/25/2007
B
Arkansas 1/3/2022
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Pennsylvania 2/22/2024
B
California 9/25/2007
B
Tennessee 5/3/2024
IA
California 9/25/2007
B
Utah 9/19/2014
B
Massachusetts 1/3/2022
B
Virginia 2/27/2024
B
Mississippi 9/25/2007
B
Washington 9/25/2007
SRO Registrations
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IA
Registered with this firm since 9/25/2007
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Registered with this firm since 9/25/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 10/11/2007 | PASADENA, CA | |
B | 08/25/1989 - 10/11/2007 | PASADENA, CA | |
B | 08/25/1989 - 12/11/1989 | NEW YORK, NY | |
B | 09/30/1982 - 08/25/1989 | NEW YORK, NY | |
B | 04/29/1980 - 09/30/1982 | ||
B | 11/06/1979 - 04/24/1980 | ||
B | 03/01/1976 - 10/28/1979 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.